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Legal Risk Management Forum

Mitigating Risks Across Industries and Jurisdictions

New York |
Speakers include:
Robby Mook

Robby Mook

Campaign Strategist

Glenn Leon

Glenn Leon

Hewlett Packard Enterprise

Cindy Michel

Cindy Michel

Apollo Global Management

Overview

Sophisticated enterprises encounter an ever-increasing and constantly changing spectrum of risks as they expand lines of business, enter new geographic markets and grow by acquisitions. Failing to  comply with anti-corruption, anti-money laundering, antitrust, cybersecurity, data privacy laws and several other pertinent laws and regulations, can often lead to both financial and reputational loss. However, with the right legal and regulatory risk management framework in place, including the proper technologies, models, workflows and processes, together with quantitative and qualitative analyses, comprehensive risk mitigation is attainable.

This half-day forum, hosted by the Financial Times and Ropes & Gray, will bring together risk management thought leaders from many sectors, including financial services, life sciences, healthcare, and technology. They will talk about the risks facing their organizations, explain how responsibility for managing risks is distributed across an organization, and risk mitigation best practices.

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fallback Add to my Calendar 09/14/2017 13:30:0009/14/2017 17:15:00falseLegal Risk Management ForumSophisticated enterprises encounter an ever-increasing and constantly changing spectrum of risks as they expand lines of business, enter new geographic markets and grow by acquisitions. Failing to  comply with anti-corruption, anti-money laundering, antitrust, cybersecurity, data privacy laws and several other pertinent laws and regulations, can often lead to both financial and reputational loss. However, with the right legal and regulatory risk management framework in place, including the proper technologies, models, workflows and processes, together with quantitative and qualitative analyses, comprehensive risk mitigation is attainable.This half-day forum, hosted by the Financial Times and Ropes & Gray, will bring together risk management thought leaders from many sectors, including financial services, life sciences, healthcare, and technology. They will talk about the risks facing their organizations, explain how responsibility for managing risks is distributed across an organization, and risk mitigation best practices.Legal-Risk-Management-Foruma25231a7b7d1d530692da990eee3da9dMM/DD/YYYY

Keynote (1)

Robby Mook

Robby Mook

Campaign Strategist

Robby Mook is a nationally recognized campaign manager and strategist, who has built winning organizations at the local, state and national level. The Los Angeles Times said his success “reflects the changing nature of campaigns, in which swashbuckling strategists are becoming less of an asset than disciplined data nerds who can build a loyal and effective campaign operation the way a seasoned Silicon Valley entrepreneur might.” In 2015, he appeared on Fortune magazine’s “40 Under 40” list of the most influential people in business, and was also named to AdAge’s “40 Under 40” list of disruptors and innovators in 2016.In 2015-2016, Mr Mook served as Campaign Manager for Hillary Clinton, where he built a $1 billion, 50-state, 3,500 person organization that mobilized more volunteers than any other campaign in history.  He oversaw marketing, strategic communications, technology, data, fundraising, field organizing, and other critical aspects of campaign operations. Mr Mook was the first person to publicly single out Russia for its interference in the election and oversaw efforts to protect the campaign and mitigate the impact of hacking into the Democratic National Committee and Clinton operatives’ accounts. Mr Mook’s successful campaigns include electing Virginia Governor Terry McAuliffe in 2013, the first time in 40 years Virginians elected a Governor from the same party as the sitting US President and the first Democratic sweep of statewide offices in more than 20 years. He has appeared regularly on NBC’s Today Show and Meet the Press, ABC’s Good Morning America and This Week with George Stephanopoulos, CBS’s This Morning and Face the Nation, as well as cable news networks CNN, MSNBC and Fox News. He is a graduate of Columbia University.

Panelists (8)

Glenn Leon

Glenn Leon

SVP and Deputy General Counsel, Chief Ethics & Compliance Officer
Hewlett Packard Enterprise

Glenn Leon is Senior Vice President and Chief Ethics and Compliance Officer for Hewlett Packard Enterprise. He oversees the strategy and implementation of HPE’s ethics and compliance program, which includes ethical decision making based on HPE’s Standards of Business Conduct and both internal and external investigations. His team is also responsible for social and environmental sustainability and compliance, privacy, and the HPE Foundation. Prior to joining HPE, Mr Leon was a Deputy Chief of the Fraud Section of the Criminal Division at the US Department of Justice, where he led investigations involving allegations of securities fraud, FCPA violations, bank and mortgage fraud, and money laundering. Prior to that, he worked for 12 years as an Assistant US Attorney for the District of Columbia, investigating and prosecuting white collar, organized crime, and homicide cases. He earned his JD from New York University School of Law, and graduated from Brandeis University, magna cum laude, with a degree in Economics.

Cindy Michel

Cindy Michel

Chief Compliance Officer
Apollo Global Management

Cindy Michel joined Apollo in 2007 and is the Chief Compliance Officer of Apollo Global Management. Prior to joining Apollo, Ms Michel served as the Director of Compliance of the Private Equity Division and the Global Trading Strategies Group at Lehman Brothers. Prior to that, she was associated with the investment bank Credit Suisse Securities as a member of its Compliance Department supporting the Private Equity and Investment Banking businesses. Before joining Credit Suisse, Ms Michel was associated with the law firm of DLA Piper. Ms Michel also serves as a member of the board of directors of Apollo Commercial Real Estate Finance, Inc. (NYSE: ARI), a publicly traded real estate investment trust managed by an affiliate of Apollo. Ms Michel graduated from Columbia University with an AB in English and Economics and holds a JD from Boston University School of Law.

Robert Johnston

Robert Johnston

Anti-Corruption Counsel & Senior Compliance Officer
Oz Management

Robert Johnston sits in the legal and compliance departments of Oz Management, and he is the head of the firm’s anti-corruption, anti-money laundering and economic sanctions programs. In particular, he has responsibility for legal and compliance risks related to Oz’s private equity investments portfolio, which includes investments in various emerging markets. Mr Johnston also advises on new business initiatives. He is the secretary of Oz's Business Risk Committee and sits on the firm’s Investment Committee. Previously, he was at Jones Day, based in the firm’s New York and Shanghai offices, where his practice focused on internal investigations, regulatory enforcement matters and corporate compliance programs. 

Marc Berger

Marc Berger

Partner and Co-Head of the Securities & Futures Enforcement Practice
Ropes & Gray

Marc Berger is Partner and Co-Head of the Securities & Futures Enforcement Practice at Ropes & Gray. As a former federal prosecutor, he focuses on defending companies and individuals in white collar criminal matters, regulatory investigations and enforcement proceedings, and internal investigations. His representations include foreign and domestic corporations, investment advisers and asset managers concerning securities, commodities, and insider trading offenses, bribery and violations of the Foreign Corrupt Practices Act (FCPA), computer hacking and data breaches, and responses to internal whistleblower complaints, as well as individual employees in similar investigations. Previously Mr Berger was an Assistant United States Attorney for the Southern District of New York and Chief of that office’s Securities and Commodities Fraud Task Force.  In that role he oversaw a staff of 20 prosecutors and regularly coordinated fraud investigations with the Securities and Exchange Commission, Commodity Futures Trading Commission, and FINRA.  As head of the fraud unit, he led the investigation and prosecution of many high-profile securities enforcement matters, including a significant number of cases as part of the largest crackdown on hedge fund insider trading in US history.

Korin Neff

Korin Neff

SVP and Chief Compliance Officer
Wyndham Worldwide Corporation

Korin Neff is the Senior Vice President and Chief Compliance Officer at Wyndham Worldwide, and is responsible for managing the compliance, ethics and privacy programs across the global hospitality company. She also oversees and manages Wyntegrity, an internal and confidential hotline where associates can call with questions about the company’s business principles. Prior to her current role, Ms Neff held various positions in Wyndham Worldwide, including Corporate Compliance Officer, Group Vice President of global privacy, where she was integral in the creation, development and implementation of the company’s global privacy program. Prior to the spin off that created Wyndham Worldwide, she served as litigation counsel for Cendant Corporation, providing counsel to internal business associates on compliance related issues, and mitigating litigation risk. Earlier in her career, she worked in private practice focusing on general commercial litigation. Ms Neff graduated with a Bachelor of Arts from Emory University, Atlanta, Ga., and received her Juris Doctor from The American University Washington College of Law in Washington DC. 

Anne Nielsen

Anne Nielsen

SVP, Chief Compliance and Ethics Officer
Bristol-Myers Squibb

Anne Nielsen is Senior Vice President and Chief Compliance and Ethics Officer for Bristol-Myers Squibb. She leads the development, administration and enforcement of the company’s global compliance and ethics program. Under her direction the company has evolved its approach from directives-based to principles-driven guidance, embedding the commitment to integrity, ethical behavior, effective governance and compliance into all aspects of the business. Prior to this appointment, Ms Nielsen was SVP and Deputy General Counsel supporting Research and Development, Europe, China, Global Commercialization, Medical and Market Access. Previously, she handled European regulatory and antitrust legal issues for Bristol-Myers Squibb. She joined the company in 1998 in the Law Department based in Belgium, and before that she worked for a private law firm in Brussels, Belgium. Ms Nielsen earned an undergraduate degree in political science and economics and her master’s degree in political science from the University of Hawaii.  She received her J.D. from Columbia Law School, and also has a master’s degree in European Law from the College of Bruges (Belgium).

Ruchit  Patel

Ruchit Patel

Partner
Ropes & Gray

Ruchit Patel, an antitrust partner in Ropes & Gray’s London office, advises some of the largest companies in the world on matters before the European Commission, UK Competition and Markets Authority, UK sectoral regulators and the UK High Court. He also has litigation experience before the UK Competition Appeal Tribunal. His clients include technology, financial services, private equity, and health care companies. In addition to expertise in EU and UK competition law and litigation, Mr Patel also has significant experience advising clients on antitrust law matters in Asia, with a particular focus on India, a large and growing market within the antitrust realm. He read Law with German at the University of Wales and spent time at the Universität Würzburg in Germany. He is a member of the Law Society of England and Wales and the Law Society of Ireland.

Ryan  Rohlfsen

Ryan Rohlfsen

Partner, Government Enforcement
Ropes & Gray

Ryan Rohlfsen is a partner in Ropes & Gray’s government enforcement practice and a former US federal prosecutor.  He has been representing companies and individuals from around the world in white collar, civil litigation, and international risk areas for almost two decades.  He has successfully litigated civil and criminal cases through trials and appeals, and conducted internal investigations on six continents. He also counsels companies in developing world-class compliance programs in anti-corruption, export control and sanctions, international risk management, and data privacy and cybersecurity. Prior to joining Ropes & Gray, Mr Rohlfsen was a Senior Trial Attorney with the US Department of Justice’s Criminal Division – Fraud Section in Washington, DC and Chicago.  At DOJ, he was part of a small group of federal prosecutors responsible for global enforcement of the US Foreign Corrupt Practices Act (FCPA). He successfully led numerous investigations into alleged criminal violations of the FCPA by major corporations and individuals. He also prosecuted cases involving securities and investment fraud, bank fraud, domestic bribery, and other complex white-collar crimes.

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Chairperson (1)

Kara Scannell

Kara Scannell

US Senior Finance Correspondent
Financial Times

Kara Scannell is the US Senior Finance Correspondent for the Financial Times. Before that she was the Investigations Correspondent, and before that the US Regulatory Correspondent, where she covered US financial regulation and enforcement, including the US Securities and Exchange Commission, the US Department of Justice and state attorney generals’ offices. She is based in New York.  Prior to joining the FT in 2010, Ms Scannell served as a Washington-based SEC and Financial Regulation Reporter for the Wall Street Journal, where she covered Congress’ passage of the financial regulation bill and probes into Goldman Sachs Group, Lehman Brothers, Countrywide and Galleon Group. She has also served as Private Equity Reporter and White Collar Crime Reporter for the Journal, covering criminal trials such as Martha Stewart, Enron and Tyco. She holds a BA in Media Studies and Economics from Fordham University.

Agenda - 14th Sep

  • 1:30pm
    Registration
  • 2:00pm
    Opening Remarks

    Kara Scannell, US Senior Finance Correspondent, Financial Times

    Marc Berger, Partner and Co-Head of the Securities & Futures Enforcement Practice, Ropes & Gray

  • 2:10pm
    Cybersecurity: Why We All Need to Worry and What We Can Do About It

    Most people who get hacked can’t talk about it, but Robby Mook can.  As campaign manager for Hillary Clinton, he had to navigate one of the most infamous series of hacks in history to secure the organization and respond to daily releases of sensitive information.  He can help executives of any organization understand why they must personally take initiative on cybersecurity, how to work with their security team to develop a smart risk management strategy, and what to do if the worst happens.

    Robby Mook, Campaign Strategist

  • 2:40pm
    Presentation: The Compliance Challenge – Managing Legal and Regulatory Risk

    Multinational companies are working overtime to cope with an expanding array of new laws and rules governing their activities. Their legal, compliance and risk departments are devoting significant management time and financial resources to ensure they comply with new requirements designed to prevent crimes as diverse as money laundering, bribery, corruption, cyber attacks, intellectual property theft and tax evasion. The “Risk Exposure and Management Survey,” produced by Ropes & Gray and FT Remark, sheds light on how companies manage these risks. The survey is based on in-depth interviews with in-house lawyers, chief compliance officers, chief risk officers and other senior executives working in financial services, life sciences, healthcare, technology and other global industries. The findings will be revealed for the first time in this presentation. 

    Ryan Rohlfsen, Partner, Government Enforcement, Ropes & Gray

  • 2:50pm
    Networking Break
  • 3:25pm
    Panel discussion: Developing an Effective Risk Management Framework

    Having identified the legal and regulatory risks they face, companies need to develop an effective risk management framework. This framework should include the latest technologies, comprehensive models and processes, and of course the right people, for managing risk. It must also include protocols for shareholder communication to ensure they are given sufficient information on the risks the company faces.
    • What constitutes an effective risk management framework?
    • What risk management models and tools are available to companies to help them comply with all relevant laws, regulations, industry codes and internal principles on:
             º Money laundering, terrorist financing and sanctions busting?
             º Corruption & bribery?
             º Market competition and anti-competitive practices?
             º Corporate governance and corporate social responsibility?
             º Suppliers and contractors?
             º Cybersecurity, intellectual property and data privacy?
             º Tax evasion?
    • What innovations are taking place in risk management, in terms of its organization, technology, training and financing?
    • How much information should shareholders be given about the risks the company faces and how it manages them?

    Cindy Michel, Chief Compliance Officer, Apollo Global Management

    Anne Nielsen, SVP, Chief Compliance and Ethics Officer, Bristol-Myers Squibb

    Korin Neff, SVP and Chief Compliance Officer, Wyndham Worldwide Corporation

    Ruchit Patel, Partner, Ropes & Gray

    MODERATOR: Kara Scannell, US Senior Finance Correspondent, Financial Times

     

  • 4:25pm
    Dialogue: The Decentralization of Risk Management

    In some organizations, a chief risk officer has assumed an important place, reporting directly to the chief executive officer. However, increasingly in the modern multinational corporation, risk is decentralized across operations, with risk management responsibilities delegated to a general counsel, chief compliance officer, chief information officer, chief information security officer and other executives.
    • How and why is risk delegated across operations?
    • How do you decide how much day-to-day risk can be managed at a national or regional level, and what must remain under direct global control?
    • How does the organization ensure that this delegation of duties works effectively and does not expose the company to increased risk?
    • To what extent can risk management be outsourced to an external adviser, such as a law firm or consultancy? Who manages the outside adviser?

    Robert Johnston, Anti-Corruption Counsel and Senior Compliance Officer, Oz Management

    Glenn Leon, SVP and Deputy General Counsel, Chief Ethics & Compliance Officer, Hewlett Packard Enterprise

    MODERATOR:Kara Scannell, US Senior Finance Correspondent, Financial Times

  • 5:00pm
    Closing Remarks

    Marc Berger, Partner and Co-Head of the Securities & Futures Enforcement Practice, Ropes & Gray

    Kara Scannell, US Senior Finance Correspondent, Financial Times

  • 5:10pm
    Networking Reception

Why Should I Attend?

  • Gain insight into the multiple factors and risks impacting organizations
  • Learn how to develop an effective risk management framework based on the latest models
  • Network with top thought leaders and executives at this invitation-only event
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Who Will I Meet?

Attendance is complimentary* for senior decision-makers including General Counsels, Chief Litigation Officers, Chief Risk Officers, Chief Compliance Officers operating in:

  • Asset Management
  • Private Equity
  • Healthcare & Life Sciences
  • Technology

*Places are strictly limited and subject to approval by the Publisher.

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Venue

Andaz 5th Avenue
485 5th Avenue
New York 10017

United States of America

Tel: +1 212 601 1234

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Organizers (2)

Financial Times Live (FT Live) is the global conferences and events division of the Financial Times Group. Chaired by senior journalists from the Financial Times Group, the summits, conferences, awards and strategic forums organised by FT Live gather the world’s brightest minds and most influential decision-makers.

Exclusive on-stage interviews, stimulating presentations and lively panel debates – available on multiple content platforms – provide the cutting-edge insights, unique personalities and peer audience engagement that have the power to transform finance, business, politics, society and culture.

The Financial Times is one of the world’s leading business news organisations, recognised internationally for its authority, integrity and accuracy. Providing essential news, comment, data and analysis for the global business community, the FT has a combined paid print and digital circulation of 840,000. Mobile is an increasingly important channel for the FT, driving more than half of total traffic.

When clients come to Ropes & Gray, they find a global team of more than 1,200 attorneys, whose top-notch legal skills, varied professional backgrounds and unique perspectives can help them evaluate and address potential risks, meet high stakes challenges, solve complex problems and reach their business goals. An international presence, the firm helps clients around the world maximize the value of their existing compliance procedures and diligence, and create a consistent legal framework across areas of evolving regulatory risk. Ropes & Gray’s collaborative approach across corporate, litigation, transactional and regulatory practices and geographies enables our clients to gain customized advice on their risk exposure from legal professionals who understand their industries and the global marketplace, and who use a holistic approach to provide thorough risk analysis across the full spectrum of issues and at virtually every stage of the business life cycle.

Contact Us

Funmbi Adenubi
Delegate Booking and Registration Enquiries
Financial Times
Meredith Vachon
Media Partner & Press Inquiries
Financial Times