Principles of the Law,

Compliance, Risk Management, and Enforcement

This project will address the need for a set of recommended standards and best practices on the law of compliance and risk management.

Status Details

At its meeting in New York City on October 17 and 18, 2019, the Council approved §§ 5.09 and 5.18-5.38 of Chapter 5 on Compliance, as well as the definitions in Chapter 1 that were not previously approved. (Portions of Chapters 1 and 5 were approved at the 2019 Annual Meeting.) There was insufficient time to complete the discussion of Chapter 4 on Risk Management and Chapter 6 on Enforcement. The Reporters will work with an ad hoc group of Council members to revise Chapter 6 in accordance with the discussion.

Chapter 2 (Subject Matter, Objectives, and Interpretation), Chapter 3 (Governance), and portions of Chapters 1 (Definitions) and 5 (Compliance) were approved by membership at the 2019 Annual Meeting.

All draft approvals are subject to the discussion at the meeting and usual editorial prerogative.

Crisis Management Panel Discussion (May 2017)

Reporter

Geoffrey P. Miller New York University School of Law
New York, NY

Associate Reporters

Jennifer H. Arlen New York University School of Law
New York, NY

James A. Fanto Brooklyn Law School
Brooklyn, NY

Claire A. Hill University of Minnesota Law School
Minneapolis, MN

Advisers

Katherine L. Adams Apple Inc.
Cupertino, CA

Daniel Alter New York State Department of Financial Services
Mount Vernon, NY

Miriam H. Baer Brooklyn Law School
Brooklyn, NY

Jeff Benjamin Avon Products Inc (Retired)
New York, NY

John Theodore Boese Fried, Frank, Harris, Shriver & Jacobson LLP
Washington, DC

Leslie R. Caldwell Latham & Watkins LLP
San Francisco, CA

George S. Canellos Milbank LLP
New York, NY

Sabine Anna Chalmers BT Group Plc
London, England

Stephen M. Cutler Simpson Thacher & Bartlett LLP
New York, NY

Lee G. Dunst Gibson Dunn
New York, NY

Paul L. Friedman U.S. District Court for the District of Columbia
Washington, DC

Stacey Putnam Geis Earthjustice
San Francisco, CA

John Gleeson Debevoise & Plimpton LLP
New York, NY

Court Golumbic Goldman Sachs & Co. LLC
New York, NY

Sean J. Griffith Fordham University School of Law
New York, NY

Yannick Hausmann Zurich Insurance Group Ltd.,
Zurich, Switzerland

Michael Held Federal Reserve Bank of New York
New York, NY

Andrew D. Hendry Pinehurst, NC, USA

Andrew Hinton Google
Mountain View, CA

Jack B. Jacobs Young, Conaway, Stargatt & Taylor LLP
Wilmington, DE

Erika A. Kelton Phillips & Cohen LLP
Washington, DC

Jeffrey H. Knox Simpson Thacher & Bartlett LLP
Washington, DC

William E. Kovacic George Washington University School of Law
Washington, DC

Jules B. Kroll K2 Intelligence
New York, NY

Iris Lan New York, NY

Donald C. Langevoort Georgetown University Law Center
Washington, DC

Douglas M. Lankler Pfizer Inc
New York, NY

David G. Leitch Bank of America
Charlotte, NC

Lewis J. Liman U.S. District Court, Southern District of New York
New York, NY

Martin Lipton Wachtell, Lipton, Rosen & Katz
New York, NY

Raymond J. Lohier, Jr. U.S. Court of Appeals, Second Circuit
New York, NY

Lori A. Martin WilmerHale
New York, NY

James McDonald U.S. Commodity Futures Trading Commission, Division of Enforcement
Washington, DC

Denis J. McInerney Davis Polk & Wardwell LLP
New York, NY

Judith A. Miller Chevy Chase, MD, USA

Douglas K. Moll University of Houston Law Center
Houston, TX

Robert H. Mundheim Shearman & Sterling LLP
New York, NY

Brian E. Nelson LA 2028
Los Angeles, CA

Ernest Patrikis Industrial and Commercial Bank of China
New York, NY

Jed S. Rakoff U.S. District Court, Southern District of New York
New York, NY

Mythili Raman Covington & Burling LLP
Washington, DC

Kathryn S. Reimann Citigroup Inc. (Retired)
New York, NY

Douglas R. Richmond Aon Professional Services
Kansas City, MO

Hillary A. Sale Georgetown University Law Center
Washington, DC

Patti B. Saris U.S. District Court, District of Massachusetts
Boston, MA

John Ford Savarese Wachtell, Lipton, Rosen & Katz
New York, NY

Laureen E. Seeger American Express
New York, NY

Charles V. Senatore Fidelity Digital Asset Services, LLC (Retired)
Boston, MA

Karen Patton Seymour Goldman Sachs & Co. LLC
New York, NY

Kenneth S. Siegel Senestech, Inc.
Phoenix, AZ

Neal R. Sonnett Neal R. Sonnett, P.A.
Miami, FL

Laura Stein The Clorox Company
Oakland, CA

Michael H. Ullmann Johnson & Johnson
New Brunswick, NJ

E. Norman Veasey Gordon, Fournaris & Mammarella, P.A.
Wilmington, DE

John H. Walsh Eversheds Sutherland (US) LLP
Washington, DC

Robert W. Werner Green River Hollow Consulting LLC
Hillsdale, NY

Bruce E. Yannett Debevoise & Plimpton LLP
New York, NY

Robert Alan Zauzmer U.S. Attorney's Office
Philadelphia, PA

Allison Zieve Public Citizen Litigation Group
Washington, DC

Liaison

Eric Kraeutler Morgan, Lewis & Bockius LLP
Philadelphia, PA

Grace E. Speights Morgan, Lewis & Bockius LLP
Washington, DC

Members Consultative Group

Jerry L. Anderson Drake University Law School
Des Moines, IA

José F. Anderson University of Baltimore School of Law
Baltimore, MD

Christopher Edward Appel Shook, Hardy & Bacon LLP
Washington, DC

John B. Attanasio The International Academic Institute of Process and Procedure
Irving, TX

Michael F. Aylward Morrison Mahoney LLP
Boston, MA

Larry Catá Backer Penn State Law
University Park, PA

Margaret Armstrong Bancroft Dechert LLP (Retired)
New York, NY

Thomas C. Baxter Sullivan & Cromwell LLP
New York, NY

Shawn J. Bayern Florida State University College of Law
Tallahassee, FL

Brigida Benitez Steptoe & Johnson LLP
Washington, DC

Alan J. Berkeley K&L Gates LLP
Washington, DC

Boris Bershteyn Skadden, Arps, Slate, Meagher & Flom LLP
New York, NY

Edward K. Bilich Risk Alternatives LLC
Arlington, VA

Harvey Ernest Bines Sullivan & Worcester LLP
Boston, MA

Jane Bland Supreme Court of Texas
Austin, TX

Ronald G. Blum Manatt, Phelps & Phillips, LLP
New York, NY

Matthew T. Bodie St. Louis University School of Law
Saint Louis, MO

Kathleen M. Boozang Seton Hall University School of Law
Newark, NJ

Andrew S. Boutros Dechert LLP
Chicago, IL

Steven M. Bradford HNI Corporation
Muscatine, IA

Susan E. Bromm U.S. Environmental Protection Agency (Retired)
Washington, DC

Russell J. Bruemmer WilmerHale (Retired)
Washington, DC

Ellen M. Bublick University of Arizona, James E. Rogers College of Law
Phoenix, AZ

John G. Buchanan, III Covington & Burling LLP
Washington, DC

Gregory P. Butrus Balch & Bingham LLP
Birmingham, AL

Ivonne Cabrera Dover Corporation
Downers Grove, IL

Fabrizio Cafaggi European University Institute Law Department
Florence, Italy

J. William Callison Faegre Drinker Biddle & Reath LLP
Denver, CO

Rueben C. Casarez Wells Fargo & Co.
Houston, TX

Ruben Castillo Akerman LLP
Chicago, IL

Jonathan G. Cedarbaum WilmerHale
Washington, DC

Steven L. Chanenson Villanova University School of Law
Villanova, PA

James H. Cheek, III Bass, Berry & Sims, PLC
Nashville, TN

Eric A. Chiappinelli Texas Tech University School of Law
Lubbock, TX

Donald Earl Childress III Pepperdine University, Caruso School of Law
Malibu, CA

Sylvia Fung Chin White & Case LLP
New York, NY

Margaret Chon Seattle University School of Law
Seattle, WA

Stephen Yee Chow Hsuanyeh Law Group PC
Boston, MA

Penelope L. Christophorou Cleary Gottlieb Steen & Hamilton LLP
New York, NY

Kathleen Clark Washington University School of Law
Saint Louis, MO

Anne E. Cohen Debevoise & Plimpton LLP (Retired)
New York, NY

David A. Collins David A. Collins PLLC
Chicago, IL

Pamela Craven Amber Road, Inc.
Basking Ridge, NJ

Robert A. Creamer Cambridge, MA, USA

Thomas L. Cubbage, III Washington, DC

Christopher Scott D'Angelo Montgomery, McCracken, Walker & Rhoads, LLP
Philadelphia, PA

Alicia J. Davis University of Michigan Law School
Ann Arbor, MI

Kimberly A. Demarchi Arizona State University, Office of General Counsel
Tempe, AZ

Brackett B. Denniston, III Goodwin Procter LLP
Boston, MA

Melanie DiPietro Seton Hall University School of Law
Greensburg, PA

Anthony E. DiResta Holland & Knight LLP
Washington, DC

Alyssa A. DiRusso Samford University, Cumberland School of Law
Birmingham, AL

Tobias A. Dorsey Office of Administration, Executive Office of the President at the White House
Washington, DC

Lucy Clark Dougherty Polaris Industries
Medina, MN

Christine Michelle Duffy Pro Bono Partnership
Parsippany, NJ

Suzanne M. Dugan Cohen Milstein Sellers & Toll PLLC
Washington, DC

Stephen S. Dunham Penn State University
University Park, PA

Brian J. Egan Steptoe & Johnson LLP
Washington, DC

Mitchell S. Eitel Sullivan & Cromwell LLP
New York, NY

E. Donald Elliott Covington & Burling LLP
Washington, DC

Roger A. Fairfax, Jr. George Washington University Law School
Washington, DC

Boris Feldman Freshfields Bruckhaus Deringer US LLP
Palo Alto, CA

Jean K. FitzSimon U.S. Bankruptcy Court, Eastern District of Pennsylvania
Philadelphia, PA

Joseph Z. Fleming Greenberg Traurig, LLP
Miami, FL

Susan S. Fortney Texas A&M University School of Law
Fort Worth, TX

Anne C. Foster Richards, Layton & Finger, PA
Wilmington, DE

C. Allen Foster Whiteford Taylor Preston, LLP
Washington, DC

Vernon L. Francis Dechert LLP
Philadelphia, PA

Tamar Frankel Boston University School of Law
Boston, MA

Meredith Fuchs Plaid Inc
Washington, DC

Thomas P. Gallanis University of Iowa College of Law
Iowa City, IA

Brandon L. Garrett Duke University School of Law
Durham, NC

Carol Rose Goforth University of Arkansas School of Law, Leflar Law Center
Fayetteville, AR

Philip S. Goldberg Shook, Hardy & Bacon LLP
Washington, DC

M. Norman Goldberger Ballard Spahr LLP
Philadelphia, PA

Norman L. Greene Schoeman Updike Kaufman & Gerber LLP
New York, NY

Michael Greenwald Philadelphia, PA, USA

Charles E. Griffin Butler Snow LLP
Ridgeland, MS

Michael A. Harring Chicago, IL, USA

Robert M. Hart Bronxville, NY, USA

Katherine J. Henry Bradley Arant Boult Cummings LLP
Washington, DC

William C. Heuer JP Morgan Chase
New York, NY

Eric L. Hirschhorn Winston & Strawn LLP
Washington, DC

Michael J. Holston General Electric Company
Boston, MA

John E. Iole Jones Day
Pittsburgh, PA

Melissa B. Jacoby University of North Carolina School of Law
Chapel Hill, NC

Kristin N. Johnson Tulane University School of Law
New Orleans, LA

Richard Gibbs Johnson Richard G. Johnson Co., L.P.A.
Cleveland, OH

Susan P. Johnston Law Office of Susan Power Johnston
Mamaroneck, NY

Michael Alexander Kahn Crowell & Moring LLP
San Francisco, CA

Richard B. Katskee Americans United for Separation of Church and State
Washington, DC

Robert R. Keatinge Holland & Hart LLP
Denver, CO

Harold H. Kim U.S. Chamber of Commerce
Washington, DC

James B. Kobak, Jr. Hughes Hubbard & Reed LLP
New York, NY

Donald J. Kochan George Mason University Antonin Scalia Law School
Arlington, VA

David N. Kragseth Munich Reinsurance America, Inc.
Princeton, NJ

Michael J. Kramer Noble Circuit Court
Albion, IN

Hilary K. Krane Nike Inc.
Beaverton, OR

Simeon M. Kriesberg Mayer Brown LLP (Retired)
Washington, DC

William F. Kroener, III Sullivan & Cromwell LLP
Washington, DC

William K. Kroger Baker Botts L.L.P.
Houston, TX

Sybil H. Landau New York, NY, USA

Stewart M. Landefeld Perkins Coie LLP
Seattle, WA

Paul A. LeBel University of North Dakota School of Law (Retired)
Grand Forks, ND

Carl D. Liggio Chevy Chase, MD, USA

John Linarelli Touro College Jacob D. Fuchsberg Law Center
Central Islip, NY

Jonathan C. Lipson Temple University Beasley School of Law
Philadelphia, PA

Lynn M. LoPucki University of California, Los Angeles School of Law
Los Angeles, CA

Margaret Colgate Love Law Office of Margaret Love
Washington, DC

Robert E. Lutz Southwestern Law School
Los Angeles, CA

Myles V. Lynk District of Columbia Office of Disciplinary Counsel
Washington, DC

Timothy D. Lytton Georgia State University College of Law
Atlanta, GA

Meghan H. Magruder King & Spalding LLP
Atlanta, GA

Pamela A. Mann Carter Ledyard & Milburn LLP
New York, NY

Gary E. Marchant Arizona State University, Sandra Day O'Connor College of Law
Phoenix, AZ

Colin P. Marks St. Mary's University School of Law
San Antonio, TX

Walfrido J. Martinez Hunton Andrews Kurth LLP
New York, NY

Stephen J. Mathes Philadelphia, PA

Lloyd H. Mayer Notre Dame Law School
Notre Dame, IN

Catherine M. A. McCauliff Seton Hall University School of Law
Newark, NJ

Don J. McDermett, Jr. Baker Botts L.L.P.
Dallas, TX

Paul E. McGreal Creighton University School of Law
Omaha, NE

John J. McGregor Sullivan McGregor & Doerr LLP
Fresno, CA

James C. McKay, Jr. Office of the Attorney General for the District of Columbia
Washington, DC

Douglas Earl McLaren Law Offices of Douglas Earl McLaren
Washington, DC

Joseph McLaughlin Sidley Austin LLP (Retired)
New York, NY

Nancy A. McLaughlin University of Utah, S.J. Quinney College of Law
Salt Lake City, UT

Kevin H. Michels The College of New Jersey
Ewing, NJ

Erica Moeser National Conference of Bar Examiners (Retired)
Madison, WI

Jonathan S. Mothner Synchrony Financial
Stamford, CT

Fred F. Murray Internal Revenue Service Office of Chief Counsel
Gainesville, FL

Donna M. Nagy Indiana University, Maurer School of Law
Bloomington, IN

Joel W. Nomkin Perkins Coie LLP
Phoenix, AZ

Vance K. Opperman Key Investment, Inc.
Minneapolis, MN

Barak Orbach University of Arizona, James E. Rogers College of Law
Tucson, AZ

John Edward Osborn University of Washington School of Law
Seattle, WA

Colin Owyang Vermont Electric Power Company (VELCO)
Rutland, VT

Eric J. Pan Columbia Law School
New York, NY

Jacqueline A. Parker Citibank
New York, NY

Wendy L. Patrick County of San Diego District Attorney's Office
San Diego, CA

William J. Perlstein FTI Consulting
Washington, DC

Joy Lambert Phillips Hancock Whitney Bank
Gulfport, MS

A. Robert Pietrzak Sidley Austin LLP (Retired)
New York, NY

Jack W. Pirozzolo Sidley Austin LLP
Boston, MA

Ellen S. Podgor Stetson University College of Law
Gulfport, FL

Donald J. Polden Santa Clara University School of Law
Santa Clara, CA

Jeffrey M. Pollock Fox Rothschild LLP
Lawrenceville, NJ

Rafael A. Porrata-Doria, Jr. Temple University Beasley School of Law
Philadelphia, PA

Josephine R. Potuto University of Nebraska College of Law
Lincoln, NE

Steven A. Ramirez Loyola University, Chicago School of Law
Chicago, IL

Bernard D. Reams, Jr. St. Mary's University School of Law
San Antonio, TX

E. Lee Reichert, III Molson Coors Brewing Company
Denver, CO

Henry duPont Ridgely DLA Piper US LLP (Retired)
Wilmington, DE

Dan Robbins Motion Picture Association, Inc.
Sherman Oaks, CA

Sue L. Robinson Farnan LLP
Wilmington, DE

Steven R. Rodgers Intel Corporation
Santa Clara, CA

Usha R. Rodrigues University of Georgia School of Law
Athens, GA

Blake Rohrbacher Richards, Layton & Finger, PA
Wilmington, DE

Rod J. Rosenstein King & Spalding LLP
Washington, DC

Jeremy Ledger Ross Amazon.com Inc.
Seattle, WA

Kenneth Ross Bowman and Brooke LLP
Minnetonka, MN

Victoria P. Rostow National Association of Real Estate Investment Trusts
Washington, DC

Irma S. Russell University of Missouri-Kansas City School of Law
Kansas City, MO

Anjan Sahni WilmerHale
New York, NY

Mark E. Schneider Kirkland & Ellis LLP
Chicago, IL

Alexander Cochran Schoch Railroad Commission of Texas
Austin, TX

Daniel Schwarcz University of Minnesota Law School
Minneapolis, MN

Victor E. Schwartz Shook, Hardy & Bacon LLP
Washington, DC

Virginia A. Seitz Sidley Austin LLP
Washington, DC

Randolph Stuart Sergent CareFirst BlueCross BlueShield
Baltimore, MD

Leopold Z. Sher Sher Garner Cahill Richter Klein & Hilbert, LLC
New Orleans, LA

Michael N. Simkovic University of Southern California Gould School of Law
Los Angeles, CA

Omari Scott Simmons Wake Forest University School of Law
Winston Salem, NC

D. Gordon Smith Brigham Young University, J. Reuben Clark Law School
Provo, UT

Douglas G. Smith Kirkland & Ellis LLP
Chicago, IL

Mary L. Smith Lansing, IL, USA

Nicholas F. B. Smyth Pennsylvania Attorney General's Office
Pittsburgh, PA

David V. Snyder American University, Washington College of Law
Washington, DC

D. Daniel Sokol University of Florida, Levin College of Law
Gainesville, FL

Peter Y. Solmssen Abiquiu Valley Farm LLC
Abiquiu, NM

David E. Sternberg Brown Brothers Harriman & Co.
New York, NY

Rhea C. Stevens Law Office of Rhea Stevens
Pearland, TX

H. Mark Stichel Astrachan Gunst Thomas, P.C.
Baltimore, MD

Elizabeth S. Stong U.S. Bankruptcy Court, Eastern District of New York
Brooklyn, NY

Andrew H. Struve Hooper, Lundy & Bookman LLP
San Diego, CA

Guy Miller Struve Davis Polk & Wardwell LLP
New York, NY

John S. Summers Hangley Aronchick Segal Pudlin & Schiller
Philadelphia, PA

Keith A. Swisher University of Arizona, James E. Rogers College of Law
Tucson, AZ

Sandra L. Tabor KLJ Solutions Holding Company (Retired)
Bismarck, ND

Laurel S. Terry Pennsylvania State University, Dickinson School of Law
Carlisle, PA

Lucy L. Thomson Livingston PLLC
Washington, DC

Ethan V. Torrey Supreme Court of the United States
Washington, DC

Peter D. Trooboff Covington & Burling LLP
Washington, DC

Daniel E. Troy Integral Health, Inc.
Boston, MA

Frederick Tung Boston University School of Law
Boston, MA

Thomas A. Tupitza Knox McLaughlin Gornall & Sennett, P.C.
Erie, PA

E. Peter Urbanowicz Alvarez & Marsal
Dallas, TX

Andrew Verstein University of California, Los Angeles School of Law
Los Angeles, CA

Bill Wagner Wagner McLaughlin, P.A.
Tampa, FL

Steven O. Weise Proskauer Rose LLP
Los Angeles, CA

Charles K. Whitehead Cornell Law School
Ithaca, NY

Jane K. Winn University of Washington School of Law
Seattle, WA

Peter A. Winn U.S. Department of Justice, Office of Privacy and Civil Liberties
Washington, DC

Nicholas J. Wittner Michigan State University College of Law
East Lansing, MI

Richard J. Wolf The Isaac-Milstein Group LLC
New York, NY

Jennifer Zachary Merck & Company, Inc.
Kenilworth, NJ

Joseph Helden Zwicker PNC Financial Services Group
Pittsburgh, PA

Publicly Available Products from This Project

Tentative Draft No. 1

Compliance, Risk Management, and Enforcement

This project will address the need for a set of recommended standards and best practices on the law of compliance and risk management.

Status Details

Publicly Available Products from This Project

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