As we begin to prepare for a full schedule of events in 2024, starting with an event on Voluntary Self-Disclosure Policy for Export Controls Violations on January 16, 2024, the NYU School of Law Program on Corporate Compliance and Enforcement (PCCE) is taking a moment to reflect on our busy Fall 2023 program. First up: our September 6, 2023 Roundtable on SEC enforcement policy.
SEC Director of Enforcement Gurbir Grewal (©Hollenshead: Courtesy of NYU Photo Bureau)
Left to Right: James Haldin, Judy Titera, Melissa Harrup, Nicole Friedlander, and Avi Gesser (©Hollenshead: Courtesy of NYU Photo Bureau)
On November 17, 2023, the NYU Law Program on Corporate Compliance and Enforcement (PCCE) hosted a standing-room-only full-day conference on Security, Privacy, and Consumer Protection. The conference addressed issues such as managing effective cybersecurity and privacy compliance programs, the use of “dark patterns” to manipulate consumer choices, whether privacy regulation and enforcement actions actually prompt firms to update their privacy policies, and the new amendments to the New York Department of Financial Services cybersecurity rules. A full agenda of the conference, along with speaker bios, is available here. In this post, several participants from the panel on Managing an Effective Privacy Program in a Time of Increasing Regulatory and Legal Risk share further thoughts on the issue.
Left to Right: Panelists David Meister, Douglas Yatter, Elizabeth Davis, Jennifer Arlen (moderator), and James McDonald (©Myaskovsky: Courtesy of NYU Photo Bureau)
On October 17, 2023, the NYU Law Program on Corporate Compliance and Enforcement (PCCE) hosted Ian McGinley, the Director of Enforcement for the Commodity Futures Trading Commission (CFTC), to announce updated enforcement guidance to CFTC staff on penalties, monitors, and admissions. Director McGinley’s remarks (available here) were followed by a fireside chat and moderated Q&A with questions from the audience, and later by a moderated panel of former CFTC enforcement directors and senior enforcement counsel. The updated staff guidance is available here. In this post, the panelists from the event offer additional commentary on the guidance.
Editor’s Note: On October 17, 2023, the NYU Law Program on Corporate Compliance and Enforcement (PCCE) hosted Ian McGinley, the Director of Enforcement for the Commodity Futures Trading Commission (CFTC) to announce updated enforcement guidance to CFTC staff on penalties, monitors, and admissions. Director McGinley’s remarks were followed by a fireside chat and moderated Q&A with questions from the audience, and later by a moderated panel of former CFTC enforcement directors and senior enforcement counsel. The updated staff guidance is available here.
by Ian McGinley
Thank you for that introduction, Professor Arlen. It is an honor to make this announcement as part of NYU’s Program on Corporate Compliance and Enforcement, one of the marquee programs in the world on these topics. I’m also delighted to be back at NYU Law School, my alma mater. As a student, I frequently attended the incredible events in Lipton Hall, often sitting in the back row. So, it’s quite a thrill to move from the nosebleeds to the podium.
Since I joined the CFTC as the Director of Enforcement, I’ve had the pleasure of getting to know a group of people whose reputation preceded it. From outside the CFTC, my observation had always been that the Division—under the leadership of numerous former Directors that are here tonight—worked aggressively to protect the public and ensure the integrity of markets.
On October 17th, 2023, the Program on Corporate Compliance and Enforcement will host an announcement followed by a fireside chat with the CFTC Director of Enforcement, Ian McGinley, at NYU School of Law. Director McGinley will be taking questions from the audience. Pre-registration is required to attend.
Washington, DC, and New York (August 17, 2023) – The National Association of Corporate Directors (NACD), the authority on boardroom practices representing more than 23,000 corporate board members, today announced that the Program on Corporate Compliance and Enforcement (PCCE) at the New York University (NYU) School of Law has joined the NACD Education Network™, an alliance of top-tier academic institutions offering reciprocal credit for directors who are NACD Directorship Certified®.
All photos courtesy of NYU Photo Bureau
The NYU Law Program on Corporate Compliance and Enforcement (PCCE) hosted an evening panel on May 16, 2023, titled “Beyond ChatGPT: Designing a Compliance Program to Mitigate Risks from AI and Other Novel Disruptive Technologies,” which attracted a standing-room only audience and featured leading corporate compliance officers, academics, and expert external counsel.
The free, off-the-record, and invitation-only panel examined how businesses can effectively identify and manage the legal, reputational, and regulatory risks associated with new and disruptive technologies like generative AI. The event provided 1.5 cybersecurity credits of New York State CLE, including 0.5 ethics cybersecurity credit. The agenda for the event is available here and speaker bios are available here. Selected photos from the event appear below.
PCCE is a self-funded organization that relies on tax-deductible donations to continue to provide high-quality conferences and programs. You can sign up for PCCE’s mailing list or make a donation here. Questions may be addressed to joseph.facciponti@nyu.edu or crp283@nyu.edu.
Event: Spring Compliance Conference (All photos courtesy of NYU Photo Bureau and photographer Sam Hollenshead)
The NYU Law Program on Corporate Compliance and Enforcement (PCCE) hosted its annual full-day spring conference on April 17, 2023, titled “Implementing an Effective Compliance Program,” attracting a standing-room only audience and featuring leading corporate compliance officers, academics, expert external counsel, and government officials. The free, invitation-only conference examined how to assess compliance programs for effectiveness and to improve compliance program quality.
Breon Peace, the U.S. Attorney for the Eastern District of New York, delivered the keynote address. Eugene Soltes, a professor at Harvard Business School, gave a lecture and fireside chat on assessing the effectiveness of internal reporting channels within corporations. Four panel discussions focused on “Determining Whether Your Compliance Program Is Deterring Organizational Misconduct,” “Effectively Handling Internally Reported Misconduct,” “Structuring Compensation to Promote Compliance,” and “Cybersecurity, Data Privacy, and Third-Party Diligence.” Approval for up to 5 New York State CLE credits is pending, including 1 general cybersecurity credit. The agenda for conference is available here and speaker bios are available here. Selected photos from the conference appear below.
PCCE is a self-funding organization that relies on tax-deductible donations to continue to provide high-quality conferences and programs. You can sign up for PCCE’s mailing list or make a donation here. Questions may be addressed to joseph.facciponti@nyu.edu or crp283@nyu.edu.