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Program on Corporate Compliance and Enforcement Business Law in the Public Interest Judge Jed Rakoff Program on Corporate Compliance and Enforcement Business Law in the Public Interest Judge Jed Rakoff Deputy Attorney General Sally Quillian Yates Assistant Attorney General Leslie Caldwell Attorney General Eric Holder Director David Green, U.K. Serious Fraud Office U.S. Attorney Preet Bharara I V PROGRAM ON CORPORATE COMPLIANCE AND ENFORCEMENT History and Mission The NYU School of Law Program on Corporate In September 2015, Deputy Attorney General Compliance and Enforcement (PCCE) was founded Sally Quillian Yates announced the Department by Professors Jennifer Arlen ’86 and Geoffrey Miller of Justice’s policy on individual accountability to promote effective enforcement and compliance for corporate wrongdoing to a packed house through legal scholarship; to foster open, objective in NYU School of Law’s Greenberg Lounge. debate between experts over enforcement practices Recognizing PCCE’s impact, Yates stated: and compliance; to inform public discourse on these issues; and to provide an in-depth rigorous education “In the few years since its on corporate enforcement and compliance that will launch, the Program on enable our students to become leaders in the areas of compliance and enforcement. Corporate Compliance and Among other activities, each year PCCE hosts Enforcement has made its conferences and forums, bringing together some of mark here in New York and in the most prominent academics, lawyers, and judges in the world for off-the-record, moderated discus- the legal profession across the sions of how to structure enforcement policy and country. You have provided compliance in order to effectively deter corporate misconduct. By gathering experts with diverse experi- a much needed venue to ence and viewpoints, we undertake the collaborative explore both the causes of process of understanding and deterring corporate misconduct; building efficient, effective, and sustain- and potential solutions to able compliance programs; and establishing a fair corporate misconduct.” and just process in accomplishing these goals. Geoffrey Miller and Jennifer Arlen ’86 BUSINESS LAW IN THE PUBLIC INTEREST 1 Directors Jennifer Arlen Geoffrey Miller Norma Z. Paige Professor of Law Stuyvesant P. Comfort Professor of Law Director, Program on Corporate Compliance Director, Program on Corporate Compliance and Enforcement and Enforcement Professor Jennifer Arlen ’86 is one of the nation’s Professor Geoffrey Miller is author or editor of a leading scholars on corporate liability, medical dozen books and more than 200 research papers malpractice, and experimental law and economics. on topics in business law, compliance and risk She is a Co-Founder, Director, and Past President management, financial institutions, securities of the Society of Empirical Legal Studies. She also law, the legal profession, ancient law, and legal is Secretary/Treasurer of the American Law and theory. Miller received his B.A. magna cum laude Economics Association, served on the ALEA Board from Princeton University in 1973 and his J.D. of Directors (1991-93, 2006-09), and is on the Edi- from Columbia Law School in 1978, where he was torial Board of the American Law and Economics Editor-in-Chief of the Columbia Law Review. He Review. Arlen currently serves as an Associate clerked for Judge Carl McGowan of the U.S. Court Reporter for the American Law Institute’s Principles of Appeals for the D.C. Circuit and Justice Byron of the Law, Compliance, Enforcement, and Risk White of the U.S. Supreme Court. After two years as Management for Corporations, Nonprofits, and an Attorney Advisor at the Office of Legal Counsel Other Organizations Project. She has been a Visiting of the U.S. Department of Justice and one year with Professor at the California Institute of Technology, a Washington, D.C., law firm, he joined the faculty Harvard Law School, and Yale Law School, and of the University of Chicago Law School in 1983, was the Ivadelle and Theodore Johnson Professor where he served as Associate Dean, Director of the of Law and Business at USC Gould School of Law Program in Law and Economics, and Editor of the before coming to NYU. Arlen received her B.A. in Journal of Legal Studies. He came to NYU School economics from Harvard College (1982, magna cum of Law in 1995. Miller has been a Visiting Professor laude) and her J.D. (1986, Order of the Coif) and or Visiting Scholar at universities and facilities of Ph.D. in economics (1992) from New York University. higher learning around the world. He is a Founder Arlen clerked for Judge Phyllis Kravitch on the U.S. of the Society for Empirical Legal Studies, Director Court of Appeals for the 11th Circuit. She teaches of the NYU Law Center for Financial Institutions, Corporations, Business Crime, and Regulation of Co-Director of the Center for Civil Justice, and Foreign Corrupt Practices. Director of the NYU Law Program on Corporate Compliance and Enforcement. He serves on the Board of Directors of State Farm Bank, chairs its Audit Committee, and is a member of the Compensation and Risk committees. Miller is a 2011 inductee into the American Academy of Arts and Sciences. 2 PROGRAM ON CORPORATE COMPLIANCE AND ENFORCEMENT Serina Vash Executive Director, Program on Corporate Compliance and Enforcement Geoffrey Miller, Jennifer Arlen ’86, Deputy Attorney General A seasoned former federal prosecutor and liti- Sally Quillian Yates, Serina Vash, and Marshall Miller gator, Serina M. Vash served for 12 years in the United States Attorney’s Office for the District of New Jersey before joining PCCE. While there, she supervised and prosecuted a wide range of federal crimes, including cases involving securities fraud, money laundering, structuring, organized crime and racketeering, cybercrime, national security, and other financial frauds. In 2010, Vash was named the first Chief of the Office’s General Crimes Unit, where she was responsible for the training and mentoring of all new AUSAs in the district. Associate Deputy Attorney General Virginia Chavez Romano, Deputy Assistant Attorney General Joyce Branda, Deputy Vash also served as Acting Deputy Chief of the Assistant Attorney General Sung-Hee Suh, and Jennifer Arlen Criminal Division, Senior Litigation Counsel in both the Organized Crime/Gang Unit and the National Security Unit, and a member of the Office’s Trial Mentorship Program. From 1999 to 2001, she served as the first law clerk to Judge Faith S. Hochberg of the United States District Court for the District of New Jersey. Previously, Vash was a litigator at Cahill Gordon & Reindel. Vash gradu- ated in 1992 from Duke University and graduated cum laude in 1995 from St. John’s University School of Law, where she was Associate Editor of the Law David Green, Director, UK Serious Fraud Office with Review. Vash has lectured throughout the country Serina Vash, Jennifer Arlen, and Geoffrey Miller on criminal investigations, criminal prosecution, crime prevention, and business ethics. She is a member of the bars of the states of New York, New Jersey, and Connecticut; the District of New Jersey; Southern District of New York; Eastern District of New York; and the United States Supreme Court. Geoffrey Miller, Assistant Attorney General Leslie Caldwell, Jennifer Arlen, Marshall Miller, and Serina Vash BUSINESS LAW IN THE PUBLIC INTEREST 3 Senior Fellows 2016-17 2015-16 Daniel Alter (2015-16, 2016-17) Susan Emmenegger is served as General Counsel and the Director of the Institute Chief Compliance Officer of itBit, of Banking Law at Bern Univer- a financial services company lever- sity, Switzerland. Emmenegger, aging traditional capital markets who received a bilingual French/ infrastructure and blockchain tech- German law degree and a Ph.D. nology. Previously, Alter was General Counsel of the from Fribourg University, serves as Vice-President NYS Department of Financial Services, where he over- of the Swiss Takeover Panel, as member of a high- saw the international sanctions enforcement program level industry/government commission on financial and the initiative to strengthen autonomy and objectiv- market strategy issues, and as member of the aca- ity of independent consultants employed in support of demic council of the Max Planck Institute for Com- financial services regulation. Before joining DFS, Alter parative and International Private Law, Hamburg. was Special Counsel and Senior Adviser to the NYS Emmenegger co-authored a Swiss contract law Attorney General, where he co-led the investigation textbook and a legal methodology treatise and of systemic fraud in the residential mortgage-backed authored a widely noted book on the internal gover- securities market and nationwide mortgage foreclo- nance of banks. She has been a Visiting Scholar at sure abuse. Alter served as Acting and Deputy Chief the University of Paris IV; Berkeley Law School; of the Civil Division of the U.S. Attorney’s Office for the Max Planck Institute for Comparative and Interna- Southern District of New York, where he coordinated all tional Private Law; and the European University terrorism-related civil litigation and directed litigation Institute, Florence; and an Adjunct Professor at arising from the September 11 terrorist attacks. Cornell Law School. Troy Paredes is the Founder Marshall Miller is Of Counsel at of Paredes Strategies LLC. Wachtell, Lipton, Rosen & Katz. From 2008 to 2013, he was a From April 2014 to July 2015, Commissioner of the U.S. Secu- Miller served as Principal Deputy rities and Exchange Commis- Assistant Attorney General and sion, having been appointed by Chief of Staff of the Department President George W. Bush. Since leaving government, of Justice’s Criminal Division. There, Miller supervised Paredes has had an active consulting practice advis- over 600 federal prosecutors and oversaw investiga- ing on financial regulation, corporate governance, tive, charging, and litigation decisions for DOJ’s compliance, and governmental and regulatory affairs. highest-profile prosecutions. He also played a key He also advises on regulatory investigations involving role in determining, implementing, and explaining securities law and corporate law, and he has been DOJ priorities, initiatives, and policies.
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