| 8:30 am – 9:00 am |
Registration and Networking Breakfast
|
| 9:00 am – 9:05 am |
Introduction
Rory Cohen | Varadero Capital, LP; Devi Shanmugham | Tradeweb
|
| 9:05 am – 10:05 am |
Building a Strong Compliance Culture
Moderator: Jonathan B. New | BakerHostetler
Speakers: Patricia Cooper | Stony Brook Medicine; Jonny Frank | StoneTurn; Carmine Guiga | NBCUniversal
- What is a “culture of compliance” and how does it incorporate ethics and integrity?
- How does a company’s market sector or industry impact its compliance culture?
- What is the impact of the outside culture and environment on corporate compliance culture?
- How do you create incentives for employees to do the right thing in non-regulated v. regulated industries?
- How do you use data to assess compliance culture?
|
| 10:05 am – 10:10 am |
Break
|
| 10:10 am – 11:10 am |
Shifting Enforcement Priorities: Should the Administration’s shift impact short- to mid-term compliance initiatives?
Moderator: Edmond L. Papantonio | Empire State Ethics & Compliance LLC Speakers: Eva Carmen | Ropes & Gray; Shari Crittendon | Fordham University; Mark Geraci | CooperSurgical
- Tension between compliance with regulation and upholding stakeholder-affirming policies and key legal principles
- Review of DOJ Guidelines and key ABC laws
- Complexity of ESG and FCPA compliance
- Typical corporate policies and enforcement trends
|
| 11:10 am – 11:25 am |
Break
|
| 11:25 am – 12:25 pm |
Emerging Trends in Financial Regulation and Asset Management
Moderator: Rory Cohen | Varadero Capital
Speakers: Carlton Greene | Crowell; Michael Kitson | Bridgewater Associates; Derek N. Lacarrubba | K&L Gates; Natalia Pszenny | Kirkland & Ellis
- Regulatory developments regarding Sanctions and AML
- Reg S/P, IA Guidance and Reg D developments
- Preparing for SEC Examinations: SEC priorities; exam preparations
- Pragmatic compliance program tips
|
| 12:30 pm – 1:30 pm |
Networking Luncheon with Fireside Chat featuring
Dorothy DeWitt | Founder/CEO, Toit Strategies, former Director of the Division of Market Oversight, CFTC
Carolyn Pokorny |
former Acting U.S. Attorney and First Assistant U.S. Attorney, EDNY
Tejal Shah | Cooley, former Associate Director of Enforcement, SEC, NY office
|
| 1:40 pm – 2:40 pm |
Preventing Personal Data Theft and Safeguarding Privacy & Security in a Digital and AI-Driven World
Moderator: Karen A. Schuler | BDO USA
Speakers: Joseph V. DeMarco | DeMarco Law, PLLC; Colleen Morrissey | Foot Locker, Inc.
- Define key concepts, terminology, and enforcement principles related to data privacy, security, and governance
- Identify common methods of personal data theft and fraud, and apply effective prevention strategies
- Evaluate legal obligations, regulatory developments, and ethical considerations across traditional and AI-enhanced environments
- Assess organizational policies and practices for compliance with privacy regulations and risk mitigation
- Recognize emerging privacy and security issues—including those posed by AI—and develop informed responses to client and stakeholder concerns
|
| 2:40 pm – 2:55 pm |
Break
|
| 2:55 pm – 3:55 pm |
AI in Compliance
Speakers: Kelly Koscuiszka | McDermott Will & Schulte; Joseph Schifano | Eventus Systems; Devi Shanmugham | Tradeweb; Charlie Wood |
Carlyle Group
- AI fundamentals for compliance professionals (terminology/ frameworks)
- Risks and benefits of AI in compliance
- Role of compliance as policy maker and user—governance and oversight and use cases
- Human in the loop, future of work
|
| 3:55 pm – 4:00 pm |
Closing
Patrick T. Campbell | BakerHostetler
|