Building a Compliance Culture in Today’s Financial Institutions: Recent Issues and Developments

Friday, March 3, 2017


Building a Compliance Culture in Today’s Financial Institutions will feature a cross-disciplinary discussion between leaders in the fields of compliance, law, the judiciary, and the government. In addition to Judge Rakoff, speakers will include:

David Glockner. Mr. Glockner joined the SEC as Regional Director for its Chicago office in December 2013, and is responsible for overseeing the SEC’s enforcement and examination activities in nine Midwestern states. Previously, he was the managing director in charge of the Chicago office of a global digital risk management and investigations firm. From 1987 to June 2012, he served in the U.S. Attorney’s Office in Chicago, including 11 years as chief of the office’s criminal division, where he handled matters involving financial fraud, public corruption, cybercrime, and national security. He is an adjunct professor at the University of Illinois College of Law, where he teaches a course on cybersecurity and the legal system.

M. Todd Henderson. Professor Henderson is the Michael J. Marks Professor of Law and Mark Claster Mamolen Research Scholar at the University of Chicago Law School. Professor Henderson’s research interests include corporations, securities regulation, and law and economics. He has taught classes ranging from Banking Regulation to Torts to American Indian Law. Professor Henderson received an engineering degree cum laude from Princeton University in 1993. He worked for several years designing and building dams in California before matriculating at the University of Chicago Law School. While at the Law School, Todd was an editor of the Law Review and captained the Law School's all-University champion intramural football team. He graduated magna cum laude in 1998 and was elected to the Order of the Coif. Following law school, Todd served as clerk to the Hon. Dennis Jacobs of the U.S. Court of Appeals for the Second Circuit. He then practiced appellate litigation at Kirkland & Ellis in Washington, D.C., and was an engagement manager at McKinsey & Company in Boston, where he specialized in counseling telecommunications and high-tech clients on business and regulatory strategy.

Donna M. Nagy. Professor Nagy is the Executive Associate Dean and C. Ben Dutton Professor of Law at Indiana University Maurer School of Law in Bloomington, Indiana.   She teaches and writes in the areas of securities litigation, securities regulation, and corporations.  Her scholarship includes three co-authored books, one on the law of insider trading (with Ralph Ferrara and Herbert Thomas), a casebook on Securities Litigation and Enforcement (with Margaret Sachs and Richard Painter), and Securities Litigation and Enforcement in a Nutshell (with Margaret Sachs and Gerald Russello).  She has written extensively on matters including, most recently, insider trading and fiduciary principles; the selective disclosure of government information; and government officials and financial conflicts of interest. Professor Nagy is a member of the American Law Institute and serves as an appointed member to the ABA Corporate Laws Committee.

Charles Senatore. Mr. Senatore leads risk oversight for Diversified Investments, a unit within FMR LLC, the parent company of Fidelity Investments.  Diversified Investments focuses on long-term investments in operating companies and real estate, as well as the management of private venture funds.  In his role, Mr. Senatore is accountable for oversight and strategic direction pertaining to the compliance, legal, regulatory and risk related functions for its constituent businesses. In earlier roles at Fidelity, he led the firm’s global compliance and ethics function for over eleven years, and has served as the firm’s head of regulatory coordination and strategy, providing direction on regulatory and compliance matters, and coordinating the firm’s strategy among its federal, state and international regulators. Prior to joining Fidelity in May 2003, Mr. Senatore served as Co-Head of Global Compliance at Merrill Lynch, and Head of the firm’s Regulatory Affairs Group. From 1994 to 1997, Mr. Senatore served as Director of the Securities and Exchange Commission’s Southeast Region. Mr. Senatore is a member of the FINRA Compliance Advisory Committee and the Standing Advisory Group to the Public Company Accounting Oversight Board.  He is also a member of the American Law Institute, advising on its project on the Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits, and Other Organizations.  

John Walsh. A 23-year veteran of the Securities and Exchange Commission (SEC), John Walsh joined Eversheds Sutherland (US) in October 2011. With his deep, insider’s experience and perspective of the SEC, John now represents broker-dealers, hedge funds, investment advisers and other securities firms in compliance and regulatory issues involving the agency. He counsels clients on the full spectrum of securities issues from development and compliance to cooperation in examinations and defense in enforcement proceedings. At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of U.S. registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior advisor for compliance policy and then, most recently, as associate director-chief counsel. In 2009, he served as OCIE’s acting director and led a massive retraining of examination staff on antifraud techniques. Prior to his tenure at OCIE, John was special counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC Division of Enforcement, serving first as senior counsel and then as chief of the branch of regional office assistance, where he regularly appeared before the Commission’s closed meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.