The 2015 Fordham Journal of Corporate & Financial Law symposium, "The Changing Face of Corporate Compliance and Corporate Governance," explores the revolution in corporate compliance and its evolution in the financial services industry.
This program has been approved in accordance with the requirements of the New York State CLE Board for a maximum of 3 transitional and non-transitional professional practice credits.
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Panel 1 — Revolution: Challenging Corporate Norms?
The panel addressed the question of whether the revolution in corporate compliance challenges established norms of corporate law and corporate governance. The panelists discussed topics such as the trends in corporate compliance, the effects of compliance across multiple industries, and different perspectives regarding compliance education and professionalization.
Miriam Baer, Professor of Law, Brooklyn Law School
Sean J. Griffith, T.J. Maloney Chair and Professor of Law; Director, Fordham Corporate Law Center, Fordham University School of Law
Geoffrey P. Miller, Stuyvesant P. Comfort Professor of Law; Director, Center for Financial Institutions; Faculty Director, Program on Corporate Compliance and Enforcement, New York University School of Law
Steve Thel, Wormser Professor of Law, Fordham University School of Law
Panel 2 — Evolution: Impacting Financial Services
The panel analyzed how the compliance function has evolved within the financial services industry. The panelists shared their perspectives on the current role of compliance. They also provided projections on the impact of compliance within financial institutions.
Stuart Breslow, Managing Director and Chief Compliance Officer, Morgan Stanley
Alan Cohen, Executive Vice President and Global Head of Compliance, Goldman Sachs Group, Inc.
Martin Grant, Chief Compliance and Ethics Officer, Federal Reserve Bank of New York
Henry Klehm III, Partner, Jones Day
Allen Meyer, Head of Global Compliance & Strategy, Barclays
Gerald Manwah, Managing Director, Financial Crime, Barclays; Senior Director, Compliance Programs and Adjunct Professor, Fordham Law School
Thomas C. Baxter, Jr., General Counsel and Executive Vice President, Federal Reserve Bank of New York