Speakers - Building a Compliance Culture in Today’s Financial Institutions

Building a Compliance Culture in Today’s Financial Institutions will feature a cross-disciplinary discussion between leaders in the fields of compliance, law, the judiciary, and the government. In addition to Judge Rakoff, speakers will include:

Jesse Eisinger. Senior reporter at ProPublica. In April 2011, he and a colleague won the Pulitzer Prize for National Reporting for a series of stories on questionable Wall Street practices. He won the 2015 for commentary. He has also twice been a finalist for the Goldsmith Prize for Investigative Reporting. He was a regular columnist for ’s Dealbook section.

David Glockner. Regional Director at the SEC, Chicago, Illinois since December 2013. Mr. Glockner had been the Managing Director of Stroz Friedberg, LLC since July 2012. He worked at U.S. Attorney's Office Chief of the Criminal Division, where he served as lead prosecutor for a wide range of investigations and prosecutions, including significant financial institution fraud, securities fraud, and public corruption.

Donna Nagy. Executive Associate Dean for Academic Affairs and C. Ben Dutton Professor of Law at Indiana University Maurer School of Law. Elected to The American Law Institute. She also served as Chair of the AALS Section on Securities Regulation in 2004‐05, as Chair of the AALS Standing Committee on Sections and the Annual Meeting in 2007‐08, and as a Vice President and Member of the Board of Trustees of the SEC Historical Society from 2008‐11. Formerly securities enforcement and litigation associate with Debevoise & Plimpton, Washington, D.C.

Charles Senatore. Head of Risk Oversight, Diversified Investments, a unit of Fidelity Investments. In earlier roles at Fidelity, he led the firm’s global compliance and ethics function for over eleven years, and has served as the firm’s head of regulatory coordination and strategy. Previously Co‐Head, Global Compliance at Merrill Lynch. Industry leader who has chaired the board of the National Society of Compliance Professionals, the FINRA National Adjudicatory Council, and the NASD District 10 Business Committee for New York. Advises the Public Company Accounting Oversight Board as a member of its Standing Advisory Group, the American Law Institute's Project on Principles of the Law for Compliance, Enforcement and Risk Management, and the NYU Program on Corporate Compliance and Enforcement.

John Walsh. Sutherland Asbill. At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of U.S. registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior advisor for compliance policy and then, most recently, as associate director‐chief counsel. In 2009, he served as OCIE’s acting director and led a massive retraining of examination staff on antifraud techniques.