City Bar Center for CLE

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1 City Bar Center for CLE 3 rd Annual White Collar Crime Institute Monday, May 19, :00 a.m. - 5:00 p.m. Networking Reception to Follow Keynote Speaker Institute CHAIR Keynote Speaker James B. Comey Director Federal Bureau of Investigation John F. Savarese Wachtell, Lipton, Rosen & Katz Mary Jo White Chair U.S. Securities & Exchange Commission Sponsoring Association Committee: White Collar Crime, John F. Savarese, Chair Sponsorship Opportunities are Available! Please Contact: Darianne De Leon, Program & Sponsorship Coordinator, City Bar Center for CLE (212) ddeleon@nycbar.org or Michelle Schwartz-Clement, Director, City Bar Center for CLE (212) mschwartz-clement@nycbar.org

2 3 rd Annual White Collar Crime Institute White collar criminal prosecutions continue to dominate the headlines. In this evolving enforcement landscape, where the trend is toward requiring admissions of wrongdoing as a condition of settlement, there seems to be less of an opportunity for traditional advocacy on behalf of corporate clients. Meanwhile, defending white collar matters has become even more complex as large, cross-border, multi-jurisdiction investigations proliferate. And the number of such investigations may continue to increase because the SEC s whistleblower program has created additional incentives for employees to report instances of wrongdoing to government prosecutors and regulators. Once a resolution of an investigation is in sight, companies and their counsel are faced with an enormous array of decisions with respect to fashioning remedial measures and structuring a compliance program that will minimize the likelihood of a recurrence of wrongdoing. The White Collar Criminal Law Committee has assembled a comprehensive full-day program that will explore these and other critical developments that have characterized this era of white collar enforcement. The keynote speakers will be Chairwoman of the United States Securities and Exchange Commission Mary Jo White and FBI Director James Comey. Our panels will include senior government enforcement officials, judges, academics, general counsel of leading New York-based corporations and financial institutions, and top practitioners in the field. Plenary sessions will focus on the opportunities for advocacy in white collar practice, and what lessons can be gleaned from recent high profile trials. We also plan break-out sessions focusing on cross-border enforcement, recent decisions of interest from the Supreme Court and the Second Circuit, compliance and remediation and the impact of the SEC s whistleblower program. Antonia M. Apps Assistant U.S. Attorney U.S. Attorney s Office, SDNY Barry Bohrer Schulte Roth & Zabel LLP George S. Canellos Milbank, Tweed, Hadley & McCloy Andrew J. Ceresney Director, Division of Enforcement U.S. Securities & Exchange Commission Christopher J. Clark Latham & Watkins LLP George T. Conway, III Wachtell, Lipton, Rosen & Katz Christina B. Dugger Chief Assistant U.S. Attorney U.S. Attorney s Office, EDNY Jonny Frank Partner, Stoneturn Group Caitlin J. Halligan Lecturer in Law Columbia Law School Scott Hammond Gibson, Dunn & Crutcher LLP David C. James Deputy Chief, Appeals Division U.S. Attorney s Office, EDNY Honorable Robert A. Katzmann Chief Judge U.S. Court of Appeals, Second Circuit Robert S. Khuzami Kirkland & Ellis LLP Martin B. Klotz Willkie Farr & Gallagher Jenice L. Malecki Malecki Law INSTITUTE FACULTY Aaron R. Marcu Freshfields Bruckhaus Deringer LLP Matthew Martens WilmerHale Sharon L. McCarthy Kostelanetz & Fink, LLP Denis J. McInerney Deputy Assistant Attorney General Criminal Division U.S Department of Justice Abby S. Meiselman Head of Litigation, IB Americas UBS Investment Bank David Meister Skadden, Arps, Slate, Meagher & Flom LLP Susan R. Necheles Hafetz Necheles & Rocco, LLP Mark F. Pomerantz Paul, Weiss, Rifkind, Wharton & Garrison LLP Lorin Reisner Chief, Criminal Division U.S. Attorney s Office, SDNY Alexandra A.E. Shapiro Shapiro, Arato & Isserles LLP Paul Shechtman Zuckerman Spaeder, LLP Richard Strassberg Goodwin Proctor LLP Honorable Richard J. Sullivan U.S. District Judge U.S. District Court, SDNY James Q. Walker Richards Kibbe & Orbe LLP Bruce E. Yannett Debevoise & Plimpton LLP

3 8:00 8:45 am Continental Breakfast/Registration Sponsored by Wachtell, Lipton Rosen & Katz 9:00 9:45 am Welcome Remarks John F. Savarese Morning Keynote Address Mary Jo White 9:45 11:00 am Morning Plenary Session: Opportunities for Advocacy in White Collar Practice How can attorneys advocate most effectively for corporations facing law enforcement and/or regulatory scrutiny? How can attorneys advocate most effectively for individuals facing potential criminal charges or regulatory action? Interacting with officers and employees also under scrutiny The current meaning and value of cooperation Use of White Papers Moderator: Paul Shechtman Panelists: George S. Canellos, Susan Necheles, Mark Pomerantz & Lorin L. Reisner 11:00 11:15 am Coffee Break Sponsored by DOAR 11:15 12:30 pm Morning Break-Out Sessions: (a) Cross-Border Investigations Involving Multiple Agencies Sponsored by Debevoise & Plimpton LLP Representation in the context of antitrust (e.g. Autoparts), FCPA (Siemens) and fraud (e.g. Libor) investigations Dealing with prosecutors and regulators from multiple jurisdictions including the CFTC, SEC, DOJ, FCA, SFO º º Impact of compelled statements º º Impact of recording of interviews, including on privilege and use in criminal proceedings º º Employment considerations, including how an employee s rights in offshore jurisdiction can affect a U.S. investigation Moderator: Bruce Yannett Panelists: Scott Hammond, Denis J. McInerney, David Meister & Aaron R. Marcu (b) Supreme Court and Second Circuit Round-Up The Chief Judge of the Second Circuit will moderate a panel discussion of the past year s Supreme Court and Second Circuit decisions of greatest significance to white collar practitioners Moderator: Chief Judge Robert A. Katzmann Panelists: George T. Conway, Caitlin J. Halligan, David C. James & Alexandra A. E. Shapiro INSTITUTE Agenda 12:30 1:30 pm Luncheon Sponsored by Ernst & Young 1:30-2:10 p.m. Afternoon Keynote Address James B. Comey 2:10 3:30 pm Afternoon Plenary session: Lessons From Recent Trials Strategies and tactics that worked (and did not work) in recent trials How important are pre-trial investigative efforts and motions? Should criminal and civil trials be approached in the same way? Moderator: Honorable Richard J. Sullivan Panelists: Antonia Apps, Christopher J. Clark, Matthew Martens, Sharon L. McCarthy & Richard Strassberg 3:30 3:45 pm Coffee Break 3:45 5:00 pm Afternoon Break-Out Sessions: (a) Compliance/Remediation Sponsored by Kroll What makes a compliance program effective? What are the least effective aspects of a compliance program? After the crime: the government s post-misconduct evaluation of compliance efforts Specific cases where remedial actions helped companies avoid prosecution and a government imposed compliance monitor Government expectations of what constitutes effective remediation Common pitfalls and privilege considerations Moderator: Robert S. Khuzami Panelists: Alan Cohen, Christina B. Dugger, Jonny Frank & Martin B. Klotz (b) SEC s Whistleblower Program Unlock the mysteries of the SEC whistleblower program Contrasting perspectives of SEC enforcement lawyers and attorneys representing whistleblowers Ethical issues arising in whistleblower investigations Moderator: Barry A. Bohrer Panelists: Andrew J. Ceresney, Jenice L. Malecki, Abby S. Meiselman & James Q. Walker 5:00 6:00 pm Networking Reception Sponsored by Ernst & Young New York CLE Credit: 6.5 total: breakdown tbd This live program provides transitional/non-transitional credit to all attorneys. This program is approved for MCLE credit in other MCLE jurisdictions. Credit breakdowns for other MCLE jurisdictions will be available at the program.

4 DOUBLE DIAMOND Sponsor PLATINUM Sponsor Gold Sponsors

5 silver SponsorS IN-KIND Sponsor

6 3 rd Annual White Collar Crime Institute Monday, May 19, :00 a.m.-5:00 p.m. Networking Reception to Follow Live Program (includes materials) q $1095 Member q $1295 Nonmember (Outside Counsel) q $265 Member q $295 Nonmember (In-House Counsel) Walk-in Registration (includes materials) q $1120 Member q $1320 Nonmember (Outside Counsel) q $290 Member q $320 Nonmember (In-House Counsel) Materials Only (no CLE credit) q $155 Member q $235 Nonmember Attorneys working for the District Attorney s Office, U.S. Attorney s Office, Legal Aid, New York Inspector General s Office, Department of Justice & other Criminal Law Organizations are entitled to pay q $125 Member q $195 Nonmember SOURCE CODE: EFL-INS q Member q Nonmember q Non-Attorney Date of Order First Name Middle Initial _ Last Name Firm Address Daytime Phone Number Fax Number Address To Register for a Program or Purchase CDs, DVDs or Materials Mail your registration form with payment to the New York City Bar, City Bar Center for CLE, 42 West 44th Street, New York, NY 10036; Fax to (212) ; Register online at or call the City Bar Center for CLE at (212) Please allow 3 5 weeks for delivery of CDs, DVDs and course materials. International orders will be sent by traceable means, and an additional charge for shipping will be incurred by the recipient. Course materials will be provided at live programs and video replays, and will accompany DVD & CD purchases. Materials for most programs are available for purchase as stand-alones; however, CLE credit is not awarded. Advance Registration A $25.00 walk-in fee will be charged if registration and payment are received by our office later than 3:00 p.m. on the previous business day of the program. Payment must accompany registration; reservations are not accepted. Passports This program is partially exempt for firm passports. Firm passports include two registrations to the program. Additional registrations receive 20% off member fees. Cancellations & Refunds For live programs & video replays, refunds & program credits are available provided cancellation is made q Enclosed is my check for $, payable to New York City Bar. q I will be paying by credit card: q American Express # _ Exp. Date q Visa q MC # _ Exp. Date Amount to Charge $ Signature in writing & received by the City Bar Center prior to the program. A $100 administrative fee will be charged for all Institute refunds. The cancellation fee will be deducted directly from the refund. For program credits no administrative fee will be charged. Program credits must be used within one year of the original program date. Cancellations must be in writing & faxed to the City Bar Center at (212) Refunds & program credits are not available for the purchase of tapes, CDs, DVDs course materials, audio files (podcasts) and online programs. CLE Certificates CLE certificates for attending a program are given out at the program and signed by a CLE staff member at the end of the program. You are responsible for keeping a copy of the CLE certificate for your own records. A $15 administrative fee will be charged for additional copies of certificates. CLE Credit We are an accredited CLE provider in New York, California, Illinois, New Jersey & Pennsylvania. For information on credits for the states, visit our website Visit Our Website Register online, get full course descriptions and find out about Association events and membership at If you need special accommodations please contact Madeline Montalvo (212) at least 3 days prior to the program. All information is subject to change.