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Compliance, Culture, and ESG: How Companies Achieve Meaningful Cultural Change and Meet Evolving Regulatory and Stakeholder Expectations

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Compliance, Culture, and ESG: How Companies Achieve Meaningful Cultural Change and Meet Evolving Regulatory and Stakeholder Expectations Compliance, Culture, and ESG: How Companies Achieve Meaningful Cultural Change and Meet Evolving Regulatory and Stakeholder Expectations Wednesday, March 31 and Friday, April 2, 2021 New York University School of Law Virtual Conference Faculty Director Executive Director Assistant Director Jennifer H. Arlen Alicyn Cooley Clarissa D. Santiago The Program on Corporate Compliance and Enforcement (PCCE) is a law and policy program dedicated to promoting effective enforcement and compliance. Through practical discourse and legal scholar­ ship, PCCE helps shape optimal enforcement policy, guides firms in developing more effective and robust compliance programs, and educates in the fields of corporate compliance and enforcement. Compliance, Culture, and ESG: How Companies Achieve Meaningful Cultural Change and Meet Evolving Regulatory and Stakeholder Expectations March 31 and April 2, 2021 Conference Objective This invitation-only, virtual conference brings together Continuing Legal Education speakers who are experts in the fields of corporate culture This event has been approved for up to six New York State and ESG with the goal of providing original and concrete CLE credits in the Areas of Professional Practice category takeaways on how companies and government agencies for those who attend the entire event. It is appropriate for alike can better promote and entrench a corporate culture newly admitted attorneys, as well as experienced attorneys. of compliance, and how companies may operationalize ESG initiatives and comply with increasingly prevalent—and, in some jurisdictions, required—disclosure regimes. 1 Conference Agenda Wednesday, March 31, 2021 9:00–9:25 A.M. Better, Not Perfect Max H. Bazerman, Jesse Isidor Straus Professor of Business Administration, Harvard Business School 9:25–9:40 A.M. Break 9:40–10:30 A.M. Permeating Compliance and Ethics into Lived Corporate Culture Moderator: Timothy Lindon ’80, Senior Fellow, Program on Corporate Compliance and Enforcement, and Adjunct Professor of Law, NYU School of Law Panelists: Melissa Stapleton Barnes, Senior Vice President, Enterprise Risk Management and Chief Ethics and Compliance Officer, Eli Lilly and Company David Berman, Partner, Latham & Watkins LLP, London Sandra Leung, Executive Vice President & General Counsel, Bristol Myers Squibb Company Klaus Moosmayer, Ph.D., Chief Ethics, Risk & Compliance Officer, Novartis 10:30–10:40 A.M. Break 10:40– 11:30 A.M. How Enforcement Agencies Evaluate Effective Compliance: Assessing Corporate Culture at the Roots of Organizations Moderator: Jennifer H. Arlen ’86, Norma Z. Paige Professor of Law, Founder and Faculty Director, Program on Corporate Compliance and Enforcement, NYU School of Law Panelists: Melissa R. Hodgman, Acting Director of the Division of Enforcement, U.S. Securities and Exchange Commission Daniel Kahn, Acting Chief, Fraud Section, Criminal Division, U.S. Department of Justice Eugene Soltes, Professor of Business Administration, Harvard Business School Benjamin F. Wilson, Chairman, Beveridge & Diamond Bruce E. Yannett ’85, Deputy Presiding Partner and Chair, White Collar & Regulatory Defense Practice, Debevoise & Plimpton LLP 11:30–11:40 A.M. Break 11:40 A.M.– Keynote 12:30 P.M. Mark Steward, Executive Director of Enforcement and Market Oversight, Financial Conduct Authority, United Kingdom 2 Friday, April 2, 2021 9:00–9:50 A.M. Keynote Chris Brummer, Agnes N. Williams Research Professor; Faculty Director, Institute of International Economic Law; Professor of Law, Georgetown Law 9:50–10:00 A.M. Break 10:00–10:50 A.M. ESG Regulation and Enforcement: How Governments Are Inducing Change Moderator: Andrew Weissmann, Distinguished Senior Fellow, Reiss Center on Law and Security and Center on the Administration of Criminal Law; Senior Fellow, Program on Corporate Compliance and Enforcement NYU School of Law Panelists: Dr. Yue (Nina) Chen, Director of Sustainability and Climate Initiatives, New York State Department of Financial Services Robert G. Eccles, Visiting Professor of Management Practice, Saïd Business School, University of Oxford Heidi Hautala, Vice President, European Parliament; Member of the European Parliament in the Greens/EFA Group Betty Moy Huber ’96, Counsel and Co-Head, ESG Group and Environmental Transactional Group, Davis Polk & Wardwell LLP 10:50-11:00 A.M. Break 11:00–11:50 A.M. Strategies for Approaching ESG Initiatives and Measuring Performance Moderator: Alicyn Cooley, Executive Director, Program on Corporate Compliance and Enforcement; Adjunct Professor of Law, NYU School of Law Panelists: Bruce Karpati, Partner and Global Chief Compliance Officer, KKR Sabastian V. Niles, Partner, Wachtell, Lipton, Rosen & Katz Anuj A. Shah, Partner, Head of U.S. & U.K., KKS Advisors Alison Taylor, Executive Director of Ethical Systems, and Adjunct Professor, NYU Stern School of Business 11:50 A.M.- Break 12:00 P.M. 12:00-12:30 P.M. Breakout Sessions 3 Conference Keynote Speakers Chris Brummer Mark Steward Agnes N. Williams Research Executive Director of Professor; Faculty Director, Enforcement and Market Institute of International Oversight, Financial Economic Law; Professor Conduct Authority of Law United Kingdom Georgetown Law Mark Steward is the Execu­ Chris Brummer is Agnes N. tive Director of Enforcement Williams Research Profes­ and Market Oversight at the sor and Faculty Director of Financial Conduct Authority, Georgetown’s Institute of International Economic Law. Prior United Kingdom. Steward has been involved in corporate, to joining Georgetown’s tenured faculty, Brummer was an financial services, and securities regulation since 1987 in assistant professor of law at Vanderbilt Law School. He has Australia, Hong Kong, and the U.K., specializing in investi­ also taught at several leading universities as a visiting profes­ gatory work and resulting litigation. sor, including the Universities of Basel and Heidelberg, and He joined the FCA from the Hong Kong Securities and the London School of Economics. Futures Commission (SFC), where he was a member of the Brummer recently concluded a three-year term as a mem­ board for nine years and Executive Director of Enforce­ ber of the National Adjudicatory Council of FINRA, where ment. Before joining the SFC, Steward was Deputy Executive his work was praised as making a significant contribution Director, Enforcement with the Australian Securities and to advancing investor protection. Investments Commission. He was nominated by President Obama in 2016 and again in 2017 to serve as a commissioner on the Commodity Futures Trading Commission. He received unanimous approval in the vote by the Senate Agriculture Committee, although no floor vote was immediately scheduled after the election. The nomination was withdrawn by President Trump. Brummer earned his J.D. from Columbia Law School, where he graduated with honors, and he holds a Ph.D. in Germanic Studies from the University of Chicago. Previ­ ously, he practiced law in the New York and London offices of Cravath, Swaine & Moore LLP. He has also served as a Senior Fellow at the Milken Institute and was awarded the C. Boyden Gray Fellowship for Global Finance and Growth at the Atlantic Council, where he launched the think tank’s Transatlantic Finance Initiative. 4 Lecturers, Moderators, and Panelists Jennifer H. Arlen ’86 Melissa Stapleton Barnes Norma Z. Paige Professor of Law Senior Vice President, Enterprise Risk Founder and Faculty Director, Program on Management, and Chief Ethics and Corporate Compliance and Enforcement Compliance Officer NYU School of Law Eli Lilly and Company Jennifer Arlen is an internationally recognized expert on As Senior Vice President, Enterprise Risk Management, corporate criminal liability and enforcement policy. Author and Chief Ethics and Compliance officer for Eli Lilly and of 48 scholarly publications, Arlen currently is the Associate Company, Melissa Stapleton Barnes leads Lilly’s global Eth­ Reporter on corporate enforcement policy for the Ameri­ ics and Compliance function. Since joining Lilly in 1994, can Law Institute’s Principles of Law on Compliance and Barnes has held a variety of business and legal roles, includ­ Enforcement for Organizations. She is the former President of ing General Counsel for Lilly Diabetes and Lilly Oncology. both the American Law and Economics Association and the Prior to her current role, she was Deputy General Counsel, Society for Empirical Legal Studies (which she co-founded responsible for overseeing all global litigation and investiga­ in 2005), and serves on the Editorial Board of the American tions, as well as managing the corporate secretary’s office Law and Economics Review. and specialty legal functions. Arlen received her B.A. in economics from Harvard Barnes has been recognized as an Attorney Who Matters College (1982, magna cum laude) and her J.D. (1986, Order by the Ethisphere Institute, as a Rising Star by the Healthcare of the Coif) and Ph.D. in economics (1992) from New York Businesswomen’s Association, and as a Women of Influence University. She has been a Visiting Professor at the California by Indianapolis Business Journal. In 2018, the Ethics and Institute of Technology, Harvard Law School, and Yale Law Compliance Initiative gave Barnes the Carol R. Marshall School, and was the Ivadelle and Theodore Johnson Profes­ Award for innovation in corporate ethics. She serves on sor of Law and Business at USC Gould School of Law before the Board of Directors for Algonquin Power and Utilities coming to NYU. She clerked for Judge Phyllis
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