Corporate leaders increasingly recognize that today’s most critical threats require advanced preparation for “when” not “if” these risks materialize. This shift to strategies that anticipate risks will require rethinking our current approaches and redefining how risk is managed. A critical component is having an integrated front between boards, officers, legal, and compliance, among others.

The 2019 RANE Risk Management Summit will bring together some of the world’s most respected business leaders, legal, and risk experts to discuss the critical issues corporations can expect to face in the future. Sessions will focus on understanding a variety of risks threatening businesses and how enterprises can leverage resources and information to “peer around the corner,” expand their peripheral vision, and take a more proactive approach to risk mitigation.

Limited Seating Available – By Invitation Only

8:30am – 9:00am Breakfast & Registration 

9:00am – 9:15am Welcome & Opening Remarks – Steve Roycroft

9:15am – 10:00am Fireside Chat Keynote 

The New Truth-Seekers – Due Diligence in the Age of Truth Decay
David Lawrence and Jules Kroll

10:15am – 11:15am Panel Discussion

Crisis in the Boardroom: Managing Misinformation at Digital Speed
What should be done when companies and boards are confronted with the spread of false information and rumors? Today’s technology gives individuals the ability to information-share at the click of a button, putting companies and boards in an often precarious position. This session will focus on how companies can best confront the influence of misinformation and how boards can respond – quickly separating fact from fiction and managing reputational risk before it spirals out of control.

11:15am – 12:15pm Panel Discussion

The Insider Threat: How to Detect, Prevent, and Defend Against Rogue Employees
As companies devote more resources to compliance and risk management, insiders with knowledge of these systems and how to evade them present a growing threat.

Electronic communication methods and trading platforms have further magnified the challenges involving data security. Companies will need to apply new and evolving technologies to enhance traditional efforts, particularly for  threats from rogue actors. This discussion will focus on where culture, controls, and technology can be leveraged to help enterprises protect their facilities, people, and assets from insider threats.

12:30pm – 1:30pm Lunch Keynote

Juan Zarate, Chairman and Co-Founder of the Financial Integrity Network (FIN), the chairman of the Center on Economic and Financial Power (CEFP), and senior national security analyst for NBC News/MSNBC.

1:30pm – 2:30pm Panel Discussion

What Will it Take to Become Cyber Resilient?
Cyber breaches continue to dominate the threat environment after another year of enormous data breaches and data spills. Current approaches do not seem to be working, with hackers staying one step ahead of corporate defenses. While data breaches may be inevitable, failure to adequately minimize and mitigate cybersecurity threats can create significant operational, legal, financial, reputational and enforcement exposure. This panel will discuss best practices and new models for identifying breaches and remediating issues while remaining operational.

2:30pm – 3:30pm Panel Discussion

Cryptocurrency, Blockchain, and the Implications for Financial Crime Compliance
The increasing use of blockchain technology presents significant legal, operational, and compliance challenges. Cryptocurrency transactions are supposed to be anonymous and untraceable raising the risks of their use in money laundering, terrorist financing, and other illicit activities. Despite the perception, cryptocurrency transactions are not entirely anonymous, however, identifying the entities and locations of blockchain participants requires sophisticated analytics and changes in customer onboarding and transaction-monitoring approaches.

3:30pm – 4:00pm Closing Remarks – David Lawrence

Thomas Baxter, Of Counsel, Sullivan & Cromwell LLP
As a member of the Firm’s Financial Services Group, Thomas C. Baxter, Jr. focuses his practice on advising clients in the financial services, insurance, securities and FinTech spaces. Mr. Baxter’s advice relates to complex issues arising from supervision and regulation, investigations and enforcement actions, governance, compliance and risk management, crisis management and organizational culture. He also brings extensive experience dealing with central banks from around the world, and with sovereigns and their instrumentalities, as they address sovereign debt and dollar-liquidity issues. Mr. Baxter’s deep knowledge in these areas comes from more than 35 years at the Federal Reserve Bank of New York, most in senior leadership roles.

Prior to joining Sullivan & Cromwell, Mr. Baxter was General Counsel and Executive Vice President of the Federal Reserve Bank of New York. While serving for more than 20 years in that senior official position, Mr. Baxter led the New York Fed’s Legal Group. In addition to nearly 50 lawyers providing legal services, the Legal Group has significant non-legal functions, including the law enforcement unit, the corporate secretary’s office, the compliance and ethics function and the banking applications function. Mr. Baxter also served on the Management Committee, the bank’s highest-level executive committee.

In his capacity as General Counsel and Executive Vice President, Mr. Baxter was one of the primary designers of the historic liquidity programs developed by the Federal Reserve during the 2008 financial crisis. He was also a leading legal architect of the AIG and Bear Stearns rescues. Prior to that, he spearheaded the Federal Reserve’s on-the-ground efforts, following the September 11 terrorist attacks, to provide liquidity to financial markets and to assist New York City in its recovery.

Earlier in his career at the Fed, Mr. Baxter served as deputy general counsel for enforcement, where he led the Federal Reserve’s enforcement response to BCCI—the Bank of Credit and Commerce International. BCCI was, and remains, the largest bank fraud in history. Mr. Baxter’s handling of the BCCI case drew praise from then-Fed chairman Alan Greenspan, who called Mr. Baxter “instrumental” in “initiating” this case, and also in “bringing it to a conclusion.”

 

Nicolas Bourtin, Partner, Sullivan & Cromwell LLP
Nicolas Bourtin is a litigation partner and the Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group. His practice focuses on white collar criminal defense and internal investigations, regulatory enforcement matters, and securities and complex civil litigation. He is one of the coordinators of S&C’s FCPA and Anti-Corruption practice group.

Mr. Bourtin has represented individuals, corporations and financial institutions in numerous high-profile matters involving accounting fraud, antitrust, FIRREA, the FCPA, insider trading, money laundering, mortgage origination and servicing, OFAC sanctions, securities fraud, tax fraud, and trading. He has extensive experience representing financial institutions in parallel regulatory and criminal investigations and representing non-U.S. companies and individuals in connection with U.S. investigations.

Mr. Bourtin has conducted numerous jury trials and has argued frequently before the U.S. Court of Appeals for the Second Circuit.

He is frequently recognized as a leading practitioner in the area of white collar criminal defense and writes and lectures frequently on criminal law and government investigations.

Mr. Bourtin also serves, on a pro bono basis, on the Criminal Justice Act panel for the Eastern District of New York, representing indigent defendants in federal criminal proceedings.

Mr. Bourtin served for four years as an Assistant U.S. Attorney in the Eastern District of New York, where he was involved in investigations, prosecutions and trials involving fraud, corruption, money laundering and other white collar offenses.

In addition, Mr. Bourtin successfully prosecuted the bosses and senior leadership of three of the five New York City-based Italian mafia families for crimes such as murder, racketeering, extortion, loansharking and narcotics trafficking. In total, Mr. Bourtin convicted over 75 members and associates of La Cosa Nostra and was involved in several historic prosecutions, including the first death penalty-eligible murder indictments of Italian mafia bosses in modern history.

Mr. Bourtin also coordinated the Eastern District U.S. Attorney’s Office’s cooperation with the Italian government on matters involving organized crime and led several successful collaborative efforts with the Italian Ministry of Justice, National Antimafia Bureau, National Police, Carabinieri and Guardia di Finanza.

 

Michael Breu, Chief Compliance Officer, Gemini
Michael Breu is the Chief Compliance Officer at Gemini. Prior to joining Gemini, Mr. Breu served as the Information Security Head of the Research Department at Bridgewater Associates from 2009-2014 and as the Managing Director of Solutions Consulting at Ounce Labs, an application security firm, from 2005 until the company’s acquisition by IBM in 2009. Mr. Breu also held a variety of engineering and security management roles at Wells Fargo between 2001-2005. Mr. Breu earned a Bachelor of Arts from Rice University in 1998.

 

Geoff Brown, CISO, City of New York
Geoff Brown was appointed Chief Information Security Officer for the City of New York in 2016, a position focused on cybersecurity and aggregate information risk across all 100+ NYC departments and agencies. In July 2017, Mayor de Blasio established New York City Cyber Command, led by Geoff and charged with setting Citywide cybersecurity policies; directing response to cyber incidents; and advising City Hall, agencies and departments on the City’s overall cyber defense. Prior to joining City government, Geoff worked in financial services, developing and operating threat management disciplines including threat intelligence, detection, response and countermeasures. Geoff also served in the federal government, including work with the National Commission for Terrorist Attacks Upon the United States (the 9/11 Commission), supporting the investigation’s work with the first responder community in NYC. Geoff is a graduate of Middlebury College.

 

Gordon Crovitz, Co-Founder, NewsGuard
Gordon Crovitz is the co-founder and co-CEO of NewsGuard, which is countering false information, misinformation and disinformation online. He is former publisher of The Wall Street Journal, where he also served as an editorial board member and opinion columnist. Along with his NewsGuard co-founder Steven Brill, Crovitz co-founded Press+, a digital subscriptions technology company acquired by RR Donnelley in 2011.

Crovitz was the founding editorial page editor of The Wall Street Journal Europe, based in Brussels. He was editor and publisher of the Far Eastern Economic Review, based in Hong Kong. He served as CEO of Houghton Mifflin Harcourt, the largest learning company serving kindergarten through high school in the U.S.

He serves on the board of directors of Houghton Mifflin Harcourt, Marin Software, Business Insider, Blurb, Spirited Media and the American Association of Rhodes Scholars. He previously served on the board of directors of Dun & Bradstreet, ProQuest and Factiva.

He graduated from the University of Chicago and has law degrees from Wadham College of Oxford University and from Yale Law School.

 

Adam Frankel, General Counsel, CBAM
Adam B. Frankel is General Counsel of CBAM, an alternative investment firm with over $11 billion of assets under management.  CBAM specializes in opportunities across the credit spectrum for institutional clients through separately managed accounts, CLOs and private funds. Prior to joining CBAM in 2018, Adam was the General Counsel of Evercore, Inc. (EVR) a leading global investment bank that provides M&A and capital markets advice, underwriting, research, sales and trading services, as well as institutional asset management and wealth management services.  He joined Evercore to support that company’s successful IPO, and for over a decade developed a global legal department and compliance function. Prior to joining Evercore, Mr. Frankel was the Senior Vice President, General Counsel and Corporate Secretary of Genesee & Wyoming Inc. (GWR), a leading owner and operator of short line and regional freight railroads in the United States, Canada, Mexico, Australia and Bolivia. Mr. Frankel was also responsible for matters related to human resources and government affairs at GWR. Prior to GWR, Mr. Frankel worked as a corporate and transactions attorney in the Office of the General Counsel at Ford Motor Company (F). Mr. Frankel started his career with a Federal District Court clerkship in the Eastern District of Michigan for Judge Anna Diggs Taylor, followed by four years as a corporate and transactions attorney at Simpson Thacher & Bartlett in London and New York. Mr. Frankel is a member of the Council on Foreign Relations, a trustee at the Sesame Workshop and a trustee at the Center for Strategic and Budgetary Assessments Nonprofit institute established to promote debate about national security strategy. He has a B.A. from Brown University and a J.D. from Stanford Law School.

 

Nicole Friedlander, Partner, Sullivan & Cromwell LLP
Nicole Friedlander is a member of the Firm’s Criminal Defense and Investigations Group and co-head of the Firm’s Cybersecurity Practice. Ms. Friedlander’s practice focuses on white-collar criminal defense, regulatory enforcement proceedings and internal investigations. She has particular expertise in fraud, anti-money laundering, tax and cybercrime matters.

Ms. Friedlander joined the Firm in 2016 from the United States Attorney’s Office for the Southern District of New York, where she was Chief of the Complex Frauds and Cybercrime Unit. During over eight years of service, she prosecuted sophisticated financial frauds, cybercrimes, money laundering and Bank Secrecy Act offenses, FCPA violations, and criminal tax cases. Ms. Friedlander’s white collar work includes leading major prosecutions of offshore banks for facilitating tax evasion, securing one of the largest-ever FCPA resolutions and bringing a groundbreaking, successful racketeering case against the owner of multibillion-dollar payday lending companies. Her cybersecurity experience includes leading the successful investigation of the largest-ever cyber theft of customer data from a U.S. financial institution; overseeing the indictment of Iranian state-sponsored hackers for coordinating cyberattacks on 46 financial institutions; leading cutting edge virtual currency-related cases; and prosecuting a Russian national for hacking U.S. banks in a case the FBI named one of its top ten of the year. For its consumer protection work during her tenure, the FTC awarded the Complex Frauds and Cybercrime Unit its Criminal Liaison Unit Award in 2016.

During her tenure at the U.S. Attorney’s Office, Ms. Friedlander also successfully tried numerous federal criminal cases and briefed and argued appeals before the U.S. Court of Appeals for the Second Circuit.

 

Andrew Gerlach, Partner, Sullivan & Cromwell LLP
Andrew Gerlach is a partner in the Firm’s Financial Services and Mergers and Acquisitions Groups and co-head of the North America insurance practice. Mr. Gerlach’s practice is primarily focused on mergers and acquisitions, divestitures, joint ventures, securities offerings and similar transactions involving financial institutions. He also advises clients on a variety of regulatory, takeover defense and corporate control, general corporate, strategic and corporate governance matters. Mr. Gerlach represents both U.S. and non-U.S. public and private financial institutions, including banks, insurance companies, private equity funds, hedge funds, investment advisers and broker-dealers.

Mr. Gerlach has worked on a variety of regulatory matters with federal and state banking, insurance and securities regulatory agencies and other governmental agencies on behalf of a number of U.S. and international financial institutions.

 

Alphonzo Grant, Managing Director, Head of Special Investigations for ISG and IM at Morgan Stanley, Legal & Compliance Division
Alphonzo Grant, Jr. is a Managing Director of Morgan Stanley and currently serves as the Head of the Global Litigation Group’s Special Investigation Unit for Institutional Securities and Investment Management (“SIU”).  SIU is responsible for conducting internal investigations of employee business conduct violations across the Firm’s several business units.  Mr. Grant also oversees investigations of institutional customer complaints in the Americas and represents the Firm in various regulatory and criminal matters. Mr. Grant joined Morgan Stanley in 2011. Since 2012, Mr. Grant has served as an Adjunct Professor at Benjamin N. Cardozo School of Law, where he teaches trial advocacy.

From May 2011 to October 2014, Mr. Grant served as a Commissioner on the New York City Civilian Complaint Review Board (“CCRB”) following his appointment by Mayor Michael R. Bloomberg.  The CCRB investigates, makes findings and recommends disciplinary action regarding civilian complaints of excessive or unnecessary force, abuse of authority, discourtesy and offensive language by NYPD officers.

From 2006 to 2011, Mr. Grant was a Litigation Special Counsel and the Director of Diversity Initiatives at Sullivan & Cromwell LLP.  As a litigation special counsel, he was a member of the firm’s Criminal Defense and Investigation Group and represented clients in criminal, regulatory and civil matters involving securities fraud, money laundering, OFAC sanctions, insider trading, tax fraud, employment and antitrust.

As Director of Diversity, Mr. Grant was responsible for counseling and guiding S&C’s leadership regarding the firm’s diversity and inclusion efforts.  Mr. Grant was also responsible for the firm’s Diversity Management Department, which was charged with developing, implementing, monitoring and assessing the firm’s diversity and inclusion initiatives, programs and policies.

Prior to rejoining S&C, Mr. Grant served as an Assistant U.S. Attorney in the Eastern District of New York, where he investigated and prosecuted a wide variety of criminal offenses involving money laundering, tax fraud, bank fraud, government fraud and corruption, terrorism, racketeering, violent gangs, weapons, narcotics and immigration.

 

Gabriel Hidalgo, Managing Director, K2 Intelligence
Gabriel “Gabe” Hidalgo, a managing director at K2 Intelligence, has 20 years of legal, regulatory compliance, and Anti-Money Laundering (AML) experience working with wholesale and retail banks, FinTech companies, broker/dealers, and money services business entities. Gabe is a recognized subject-matter expert in the cryptocurrency and digital assets market and is able to help clients navigate and mitigate Bank Secrecy Act and Anti-Money Laundering (BSA/AML) compliance risks as they strive to keep up with the latest developments occurring within the new value-transfer digital asset marketplace, establish new banking relationships, and satisfy regulatory requirements domestically and internationally. Gabe also works with FinTech companies to establish dynamic and comprehensive compliance programs that incorporate the essential elements for sound oversight—effective governance and management controls, clear and practical policies and procedures, efficient transaction monitoring and sanction screening systems, comprehensive training, and sound quality assurance controls.

Prior to joining K2 Intelligence, Gabe served as chief compliance officer for Noble Bank International, a new innovative bank providing transactional settlements for various asset classes including cryptocurrency, FX, energy, and precious metals. Prior to that, he served as senior vice president/chief compliance officer for Community Federal Savings Bank (CFSB), where he led the team charged with formulating compliance solutions for new and constantly evolving FinTech payment products. Gabe was also responsible for compliance oversight over CFSB’s retail, merchant services and payments, and mortgage banking lines of business

Jeremy Kroll, President, CEO, Co-Founder, K2 Intelligence
As president, CEO, and co-founder of K2 Intelligence, Jeremy M. Kroll is responsible for charting the firm’s growth strategy, including market development, strategic partnerships, and acquisitions. With more than two decades of investigative and leadership experience, Jeremy has led K2 Intelligence since its inception in 2009 through its growth into an internationally recognized firm with six offices across the United States and Europe.

Using the strategic acquisition of intelligence to inform risk mitigation strategies, Jeremy helps executives and business owners to further their business objectives. He serves as a trusted advisor and complex problem solver to business owners, boards of directors, and C-suite executives, working with them to mitigate risk across the corporate and family office spheres. He advises clients on risk management as they pursue strategic investments, including cross-border acquisitions and multinational investments, and helps them to navigate the changing physical and cybersecurity landscape in a way that embraces technological change while minimizing strategic risk.

In his capacity as CEO, Jeremy is also responsible for managing the company’s global business lines. He spearheads K2 Intelligence’s technology initiatives, with an emphasis on cyber defense, information security, and data analytics, helping the firm marry professional excellence with cutting-edge technology.

Before co-founding K2 Intelligence, Jeremy spent 11 years in senior leadership positions at Kroll Inc., a global corporate investigations and risk consulting professional services firm, where he served as general manager of Kroll’s information security group as well as managing director and vice president of corporate sales and marketing.

Jeremy is a respected thought leader on compliance, security, and risk in technology investing, and is a sought-after speaker on these subjects. He has moderated panels on cybersecurity investment in business and spoken at conferences hosted by organizations such as the National Association of Corporate Directors, Evercore ISI, Bank Leumi, Bank of America, Simpson Thacher, and the Association of International Bank Auditors. He has been quoted extensively on cybersecurity and risk management issues in print, digital, and television media, including CNBC, Bloomberg, and Reuters.

 

Jules Kroll, Chairman & Co-Founder, K2 Intelligence
Jules B. Kroll is chairman and co-founder of K2 Intelligence. He also serves as chairman of Kroll Bond Rating Agency, Inc., and as a member of the board of directors of BlueVoyant.

Jules is the founder of Kroll, Inc., and the acknowledged pioneer of the modern investigations, intelligence, and corporate security industry. In 1972, he established Kroll Associates Inc. the prototype for a new breed of professional services firms dedicated to mitigating risk. By employing former prosecutors, law enforcement officials, journalists, and academics who used sophisticated fact-finding techniques to address decision-makers’ need for accurate information, Jules established investigations and risk consulting as indispensable corporate services.

 

David Lawrence, Founder and Chief Collaborative Officer, RANE
David Lawrence is the Founder and Chief Collaborative Officer of RANE. He previously served for approximately 20 years as Associate General Counsel and Managing Director at Goldman Sachs. During his tenure, David formed and was the global head of the Business Intelligence Group. His role covered a wide range of legal, regulatory, diligence and transactional responsibilities for the firm, as well as advising Goldman’s clients directly. David served on a number of the firm’s global risk-management and investment committees, including its Commitments and Capital Committees. In 2014, David received the FBI Director’s Award for his efforts in combating international terrorism.

Over the years, David and Goldman Sachs were jointly awarded over 20 risk management patents. While at Goldman Sachs, he helped create and lead the firm’s formation of Regulatory Data Corp (RDC), in which 20 of the leading global banks invested. Prior to working at Goldman Sachs, David served for 10 years as an Assistant US Attorney, in the Southern District of New York. During this tenure, he served as the Deputy Chief of the Criminal Division and Chief of the Public Corruption and General Crimes Units. David serves as a member of the Board of Trustees for the John Jay College of Criminal Justice Foundation (City University of New York). David received a B.A. from Brandeis University in Urban Studies, Magna Cum Laude with Highest Honors. He attended the University of Texas School of Law and received his J.D. from New York University School of Law.

 

Molly Levinson, President, The Levinson Group
Molly Levinson, President of the Levinson Group, is a seasoned communications and public affairs specialist, providing strategic advice, crisis and issues management, media relations, and reputation management for CEOs, corporations, non-profits, and other organizations. She has worked with law firms across the country on some of their most critical matters. Her deep knowledge of media, including global landscape, relationships, and competitive positioning, has contributed to a track record of leveraging brand strengths in dynamic and complex environments. Her two decades of practice in the center of media and public affairs includes experience on both sides of high-profile, high-stakes news: developing comprehensive communications campaigns to connect targeted audiences to compelling stories, and conversely, leading political coverage at major media outlets.

Her expertise in developing and implementing policy and communications strategies is rooted in her experience at the most senior levels of television news. An emmy-award winning producer, she served as senior Elections Consultant at CNN and as Political Director at CNN and CBS. At both networks, she directed all political reporting and served as the primary editor for all political content, including presidential primary and general election debates, caucus and primary election nights, political party conventions, and general election nights. She served as a primary liaison with national political parties, campaigns, local and national elected officials, Capitol Hill and the White House for every election from 2002 to 2012. Ms. Levinson also covered major events including September 11, 2001 and the aftermath, and the U.S. wars in Afghanistan and Iraq.

Ms. Levinson graduated cum laude from Wellesley College. In addition to a wide range of work that has appeared on numerous television outlets, Ms. Levinson has published articles on CNN.com, CBSnews.com, and BBC.com.

Bill McInnis, Vice President, U.S. Federal, CipherTrace
Mr. McInnis has over 15 years of experience in the cybersecurity arena with a focus on creating, organizing and operationalizing cyber intelligence repositories. He routinely briefs executives in the public and private sectors on cyber risk and cyber threats, and has participated in many public and private efforts such as the FCC CSRIC’s as well as industry groups such as M3AAWG and the APWG. Mr. McInnis has focused his efforts on bringing new and transformative capabilities to market and accelerating early-stage startups. He has held senior positions at visionary cyber companies such IID (sold to Infoblox), Risk Based Security, Bandura Cyber, Message Level (co-founder), and others..

 

Tim Murphy, President, Thomson Reuters Special Services
With 30 years of public and private sector experience—primarily in the Federal Bureau of Investigation—Timothy P. Murphy is a recognized leader in the global law enforcement, intelligence, and business communities.

A Michigan native, Mr. Murphy became a police officer after graduating from college in 1983. In 1988, he joined the FBI as a special agent. He held a number of operational positions in a variety of field offices nationwide, investigating matters as diverse as counterterrorism, intelligence, cyber and organized crime, and even serving as an FBI pilot. Mr. Murphy served in various management roles, to include serving as a Special Assistant to the FBI Director—a position that gave him a unique, high altitude view of the Global FBI from both operational and administrative perspectives. He steadily climbed the Bureau’s management ladder, eventually serving as the Special Agent in Charge of the Cincinnati field office, the Bureau’s Chief Financial Officer, and then it’s Chief Operating Officer. He eventually rose to become the Deputy Director of the FBI, a position he held until retiring in 2011. Prior to joining TRSS, Mr. Murphy was a Vice President at MacAndrews and Forbes, Inc.

In his last two FBI positions, Mr. Murphy oversaw the operational and administration aspects of a workforce that was more than 35,000 strong, spread throughout 56 national offices and more than 60 international offices. This included all operational aspects of the Counterterrorism, Counterintelligence, Criminal, Cyber and Intelligence Programs, as well as human resources, training, strategy management, facilities management, records management, security, financial management, information technology, inspection, internal audit and leadership development. Mr. Murphy maintains close ties to the law enforcement and intelligence communities and is frequently consulted for his expertise in global cyber, counterterrorism, intelligence, criminal and security issues.

 

Sharon Nelles, Partner, Sullivan & Cromwell LLP
Sharon Nelles, a partner in the Firm’s Litigation Group and member of the Firm’s Executive Committee, represents financial institutions and global companies in high-profile, critical company matters that implicate not only civil litigation but also related regulatory, congressional and criminal investigations and enforcement actions. She is currently active in matters arising from the Volkswagen diesel crisis and the #MeToo movement, among others.

Ms. Nelles has represented such clients as Airbnb, Moody’s, JPMorgan Chase, Standard Chartered Bank, Microsoft and Diageo, in high-profile investigations and litigation, including matters arising from the subprime mortgage crisis, such as JPMorgan Chase’s groundbreaking $13 billion global settlement. She has tried cases in the state and federal courts on behalf of such clients as Microsoft, Eastman Kodak Company and General Bank, and has represented prominent firms and individuals in proceedings before the Department of Justice, the United States Congress, the Securities and Exchange Commission, the Federal Trade Commission, the Federal Reserve Bank of New York and virtually every state attorneys general.

Ms. Nelles frequently conducts investigations for corporate clients, special committees and boards of directors.

 

Mukul Pandya, Executive Director/Editor-in-Chief, Knowledge@Wharton Network
Mukul Pandya is the editor-in-chief and executive director of the Knowledge@Wharton, the online business analysis journal of the Wharton School of the University of Pennsylvania. He is a Senior Fellow in the Wharton School’s Management Department.

Launched in 1999, Knowledge@Wharton has grown into a network of sites that includes a global edition in English and regional editions in Spanish, Portuguese, Simplified Chinese and Traditional Chinese, as well as a site for high school students and educators. In 2008, the Knowledge@Wharton team was awarded the University of Pennsylvania’s Models of Excellence award by President Amy Gutmann.

A winner of four awards for investigative journalism and author of three books, Pandya has nearly 40 years of experience as a writer and editor. His articles have appeared in the Wall Street Journal, the New York TimesThe Economist and other publications. He holds a master’s degree in economics from the University of Bombay.

 

Troy Paredes, Founder, Paredes Strategies
From 2008-2013, Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush and confirmed by the U.S. Senate. Paredes served as an SEC Commissioner during an especially historic time at the SEC and for our economy – namely, throughout the financial crisis and its aftermath, including the implementation of the Dodd-Frank Act. He played a key role in rulemakings and other regulatory matters concerning all aspects of the SEC’s mission and securities regulation, including, among other things, antifraud and anticorruption, public company disclosures, capital formation, corporate governance, executive compensation, investment management, investment advisors, broker-dealers, exchanges, credit rating agencies, equity market structure, fixed income markets, derivatives, auditing and accounting, and cybersecurity. At the SEC, Paredes was a strong advocate for small business and the JOBS Act, for solving the information overload problem of securities law disclosure, and for rigorous cost-benefit analysis. He also consistently expressed concerns about the overregulation and overreach of the Dodd-Frank Act.

 

Arielle Patrick, Senior Vice President, Financial Communications & Capital Markets, Edelman
Arielle Patrick is Senior Vice President & Transaction Director at Edelman, the world’s largest communications consulting firm. Arielle is an advisor to C-suite executives and boards of directors of public and private companies. She specializes in all-stakeholder communications strategies for financial special situations and crisis management. Areas of focus include: mergers & acquisitions, bankruptcy, restructuring, and other sensitive transactions.

In her spare time, she sits on the Board of Trustees of The Harbor Sciences & Arts Charter School; the National Advisory Board of the foundation for Yellowstone National Park; the Leadership Council for the SpecialOlympicsof New York; and is Fundraising Chair of the Alumni Board for the Princeton Tigerlilies acapella group.

Arielle graduated Princeton University, where she studied in the Department of Classics with a concentration on Ancient Greek and Latin language, literature and history.

Arielle has been featured in Forbes, the Financial Times, and other publications. She has also been a speaker at various conferences at institutions, including Bloomberg, Columbia University, Princeton University and The Wing.

 

John Riggi, Senior Advisor for Cybersecurity and Risk, American Hospital Association
John Riggi, having spent nearly 30 years as a highly decorated veteran of the FBI, serves as the first Senior Advisor for Cybersecurity and Risk for the AHA and their 5,000+ members. In this role John serves as a resource to assist AHA members identify and mitigate cyber and other sources of risk to their organizations. John will also support the AHA’s policy, advocacy and government relations efforts on cyber and risk issues. Previously, John led BDO’s Cyber and Financial Crimes Practice. At the FBI Cyber Division, he led the national program to develop mission critical partnerships with the healthcare sector, other critical infrastructure sectors and across government for the investigation and exchange of information related to national security and criminal cyber threats. John held a national strategic role in the investigation of the largest cyber-attacks targeting healthcare, energy, entertainment, technology, financial services, government and other sectors. John also served as a representative to White House Cyber Response Group. In addition, he serves as an official private sector validator for the White House’s Presidential Policy Directive on U.S. Cyber Incident Coordination (PPD-41)

Previously in his FBI career, John served in leadership positions in the FBI’s Washington Office Intelligence Division, New York Office Joint Terrorist Task Force, High Intensity Financial Crimes Area Task Force and was the National Operations Manager for the FBI’s Terrorist Financing Operations Section. He also served as a senior FBI representative to the CIA’s Counterterrorism Center. John is the recipient of the FBI Director’s Award for leading a highly successful classified terrorism financing interdiction program and the recipient of the CIA George H.W. Bush Award for Excellence in Counterterrorism, the CIA’s highest award in this category. John presents extensively on cybersecurity topics and is frequently interviewed by the media on cybersecurity issues.

 

Juan Zarate, Chairman and co-founder of the Financial Integrity Network (FIN), the chairman of the Center on Economic and Financial Power (CEFP), and senior national security analyst for NBC News/MSNBC.
Juan Zarate is chairman and co-founder of the Financial Integrity Network (FIN), the chairman of the Center on Economic and Financial Power (CEFP), and senior national security analyst for NBC News/MSNBC. He also serves as senior adviser at the Center for Strategic and International Studies (CSIS), senior fellow at West Point’s Combating Terrorism Center, and was a visiting lecturer in law at the Harvard Law School for eight years.

Mr. Zarate is a published author, including his books “Treasury’s War” (2013) and “Forging Democracy” (1994). He sits on the boards of various organizations, including the Vatican’s Financial Information Authority, Northwestern Mutual, Boston Dynamics, HSBC’s Financial System Vulnerabilities Committee, and the Director’s Advisory Board for the National Counterterrorism Center (NCTC).

Mr. Zarate served as the deputy assistant to the president and deputy national security adviser for combating terrorism from 2005 to 2009, where he was responsible for developing and implementing the U.S. government’s counterterrorism strategy and policies related to transnational security threats. He was the first ever assistant secretary of the treasury for terrorist financing and financial crimes, where he led the innovative use of the Treasury Department’s national security–related powers. Mr. Zarate is a former federal prosecutor who served on terrorism prosecution teams prior to 9/11.

 

Kevin Zerrusen, Managing Director and Head of Technology Division Risk Governance, Goldman Sachs
Kevin Zerrusen was previously Global Co-Head of the Security Incident Response Team, Goldman Sachs. Prior to joining Goldman Sachs in 2013, he had a career in the Central Intelligence Agency (CIA), where he served in multiple roles at the agency’s headquarters in Langley, Virginia and overseas. He most recently directed a cyber center at the CIA. Zerrusen earned a BA in Political Science from the University of Dayton and an MBA from Syracuse University.

 

Additional speakers to be added.

Event Recap

The speed at which enterprise-level threats have evolved in today’s climate means that corporate leaders increasingly understand that it is necessary to prepare for “when,” not “if,” such risks materialize. Now, anticipating a myriad of new, interconnected risks is the norm — one that will require rethinking current approaches, as well as redefining how risk is understood and managed. One critical component of an organization’s planning is an integrated front that incorporates boards, officers, legal, and compliance, among others. The 2019 RANE Risk Management Summit brought together some of the world’s most respected business leaders, legal, and risk experts to discuss the critical issues corporations can expect to face in the future, and how enterprises can leverage resources and information to “peer around the corner,” expand their peripheral vision, and take a more proactive approach to risk mitigation. Highlights of the day’s keynote addresses and panels follow. In keeping with the Chatham House rule that was in effect, specific speakers are not identified by name, unless otherwise noted with the speakers’ approval.

Download the event recap

Podcasts

As a follow-up to the RANE 2019 Risk Management Summit hosted by Sullivan & Cromwell on April 3, 2019, we’ve conducted several follow-up podcasts with some of the panelists.

In this podcast, RANE founder David Lawrence sits down with Nic Bourtin, one of the panelists on the the panel entitled The Insider Threat: How to Detect, Prevent, and Defend Against Rogue Employees. Listen to the podcast.

In this podcast, RANE founder David Lawrence sits down with Thomas Baxter, one of the panelists on the the panel entitled Cryptocurrency, Blockchain, and the Implications for Financial Crime Compliance.. Listen to the podcast.

LOCATION

Sullivan & Cromwell LLP
125 Broad St.
New York, NY

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