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Compliance Institute 2023

Compliance Institute 2023 (OnDemand)
Originally held on Tuesday, October 24, 2023 | 9:00 am – 5:00 pm
Corporate compliance responsibilities are becoming increasingly complex and compliance professionals have to deal with new and evolving laws and regulations, in an increasingly multi-jurisdictional environment. New and increasingly sophisticated technology, artificial intelligence, and machine learning solutions, together with the evolution of digital assets and cryptocurrencies, heightened demands by law enforcement agencies and regulators and potentially heightened personal liability add to such challenges. New SEC rules and DOJ guidance add to the complexity of managing a compliance program or advising compliance teams.

The Compliance Institute will uniquely provide learning opportunities for law firm attorneys, compliance professionals, consultants, and service providers. Special tracked offerings will have specialized sessions for those who work in asset management, broker-dealer, banking and general corporate compliance. Below are some of the topics that recognized experts will discuss at the Institute.

• How to Make Your Compliance Program Practical and Successful: Recent Trends and Best Practices
• Current Trends in Broker-Dealer Regulations and Enforcement
• Current Issues in Anti-Corruption, AML, and Trade Sanctions Compliance
• AI Technologies and Predictive Data Analytics
• Current Trends in Asset Management Regulations and Enforcement
• Privacy and Security: A Practical Approach to Addressing Data Trends
• Addressing DE&I Issues in Compliance

Click Here to View Program Agenda & Faculty

CLE Credit:
New York: 3.5 Professional Practice, 1 Cyber – General, & 1.0 Diversity & Inclusion
New Jersey: 4.6 General & 1.0 Diversity & Inclusion
California: 4.0 General & 1.0 Diversity & Inclusion
Pennsylvania: 4.0 General & 1.0 Diversity & Inclusion
Connecticut: Available to Licensed Attorneys

This program provides transitional/non-transitional credit to all attorneys.

Program Fee:

 $599 for Members | $699 for Nonmembers

Sponsoring Association Committee:
Banking Law , Adele Hogan, Chair
Compliance, Rory Cohen and Devi Shanmugham, Co-Chairs
Inter-American Affairs, Jessenia Vazcones, Chair
Securities Regulation , Rodney Miller, Chair
Private Investment Funds , Michael S. Hong, Chair
White Collar Crime, Jenna Dabbs, Chair

Program Keynote Speaker:
Gurbir S. Grewal, Director, Division of Enforcement, SEC

Program Kickoff Fireside Chat Speaker:
Preet Bharara, Former United States Attorney, SDNY, WilmerHale

Program  Co-Chairs:

Patrick T. Campbell, BakerHostetler
Rory Cohen, General Counsel, Varadero Capital, LP
Adam Felsenthal, General Counsel and Deputy Chief Compliance Officer, Great Point Partners
Devi Shanmugham, Global Head of Compliance, Tradeweb

Information about our Financial Aid Policy and Application can be found here


New York City Bar 42 West 44th Street New York, NY 10036

Tuesday, 24 October 2023


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