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Ethics for In-House Corporate Counsel 2020

Speaker(s): Aryeh Friedman, Carole Basri, David Boyd Booker, Noreen M. Fierro, Timothy Heine (Ret.)
Recorded on: Jun. 24, 2020
PLI Program #: 277645

Carole Basri is an adjunct professor at Fordham University School of Law and a visiting professor at Peking University School of Transactional Law. She helped to create the Corporate Compliance program at Fordham Law School, which includes a certificate and LLM in Corporate Compliance that launched in 2012.

Ms. Basri is a graduate of Barnard College and NYU School of Law, where she was a member of its National Moot Court Team. She then joined the Federal Government, where she was an Assistant Counsel with the United States Senate Antitrust and Monopoly Subcommittee and an attorney with the Federal Trade Commission. She later became in-house counsel with the advertising agency, NW Ayer Inc., and left to become an associate, first with Baker & McKenzie and then with Hall Dickler Lawler Kent and Friedman. Ms. Basri then became in-house counsel with Maidenform Inc. and a consultant with the Perrier Group Inc. From 1994 to 2002, she was a consultant to Deloitte & Touche LLP, where she helped to create its Ethics and Compliance practice. During this time, she also served as General Counsel of China On Line Inc.

Ms. Basri was the Senior Vice President of B3 Legal, a national legal and compliance staffing company that provides, among other things, attorneys and compliance professionals to serve as in-house counsel attorneys and Compliance Officers at financial institutions.  In addition, she has been Executive Director of the Greater NY Chapter of the Association of Corporate Counsel (ACC) for over 10 years (until September 2006).

Ms. Basri is also President of the Corporate Lawyering Group LLC, which advises on corporate compliance programs. She has created comprehensive compliance and ethics programs for major corporations, including the Dunn & Bradstreet Corporation, Cendant, Benjamin Moore & Co. and Dannon Inc. These programs were all launched within nine months and, in many cases, in multiple languages and locations. She also provides advice on law department management, document retention and corporate governance issues.

Carolina Academic Press just published two casebooks by Ms. Basri: Corporate Legal Departments and Corporate Compliance. 

David Boyd Booker is a New York corporate attorney specializing in specialized capital markets transactions.  He is currently a Managing Director and Senior Counsel and the Head of Derivatives, Repo and Securities Lending Sales and Trading for the Americas – Legal at the New York office of Crédit Agricole Corporate and Investment Bank.  Previously Mr. Booker practiced for several years in the New York legal department of Credit Suisse.  In addition, prior to going in-house, he practiced for a number of years in New York with the law firm Milbank Tweed Hadley & McCloy and then the law firm Paul Hastings Janofsky & Walker.  Mr. Booker holds a BA from Wesleyan University and a JD from Cornell Law School. 

Mr. Friedman is Vice President, Associate General Counsel and Chief Compliance & Chief Privacy Officer at Dun & Bradstreet. He oversees Dun & Bradstreet’s global privacy and compliance  programs which covers anti-corruption, export controls and trade regulation, competition law, lobbying and other regulatory compliance. Prior to that, Mr. Friedman served as Vice President, Assistant General Counsel and Chief Privacy Officer at Pfizer, and was Chief Counsel, Competition at Wyeth. Mr. Friedman also served as Senior Competition and Regulatory Counsel at AT&T and British Telecom. Mr. Friedman worked in private practice at Paul, Weiss, Rifkind Wharton & Garrison and (Faegre) Drinker, Biddle & Reath. 

Mr. Friedman teaches Business Ethics at the Wharton School of the University of Pennsylvania. He has spoken and published extensively on law and emerging technologies. Mr. Friedman serves on the  leadership of the Association of Corporate Counsel (ACC) Compliance and Ethics Committee and the Privacy and Information Security (PRIS) Committee of the Antitrust Section of the American Bar Association. Mr. Friedman holds a B.S. from Cornell University and J.D. from the New York University School of Law.

Noreen is a seasoned in-house compliance leader. She was most recently the Senior Vice President, Chief Ethics & Compliance Officer for Guardian Life Insurance where she led the ethics and compliance program for the enterprise including having responsibility for Guardian’s Code of Conduct.

Prior to joining Guardian, Noreen served as the Chief Compliance Officer for Retirement Solutions and Group Insurance at Prudential Financial. In that role, which included oversight for the annuities, retirement and group business compliance teams, During her ten year tenure at Prudential, Noreen served in a variety of legal and compliance roles, including serving as the enterprise Anti-Money Laundering and Anti- Corruption Compliance Officer where she was responsible for building and implementing corporate standards and operating compliance models for all businesses, both domestic and international. While serving as regulatory counsel for Prudential, Noreen was responsible for building out the outreach protocols with the State Attorneys General.

Prior to Prudential, Noreen worked as a senior manager for Deloitte Financial Advisory Services, LLP. She has also worked for UBS Financial Services, Inc. as legal counsel to the company’s Money Laundering Prevention Group. Prior to going in-house, Noreen was in private practice as a securities and M&A attorney.

Noreen was highlighted as a BizWomen Headliner by American City Business Journals, a digital news source for women. She most recently participated in Mentor Monday, a cross industry, cross country mentoring event which intends to connect women from all stages of their careers. Noreen was named to the short list of finalists for the Women in Compliance awards sponsored by London-based C5 Communications, Ltd. and was named to the New York Business Journal’s list of Women of Influence. She has served on the Advisory Board of the American College Center for Ethics in Financial Services. She is currently an Advisory Board Member for CASA of Morris and Sussex Counties, a non-profit dedicated to helping children in foster care. She is an Advisory Board Member of the Tricarico Institute for the Business of Law and In-House Counsel at New York Law School. She is a periodic adjunct professor at NY Law School and a guest lecturer at Fordham Law School on general compliance issues. She is a member of the women’s executive network, CHIEF and Legal 50.

Tim Heine is recently retired, having served in the American Express General Counsel’s Organization for over 37 years, with a range of responsibilities over time including in senior leadership roles. Most recently, he served as a Special Advisor to the Company’s Chief Legal Officer and, immediately prior to that, Tim led the Company’s Enterprise & Regulatory Legal Team whose charter was to deliver legal support on an enterprise-wide basis for certain subject matter areas (including bank regulatory, financial crimes, technology, privacy, cyber security, antitrust, intellectual property, digital, supplier management, insurance and real estate). That team also included the Company’s Global Legal Policy and Strategy function. In prior roles, Tim led the business lawyer teams supporting most of the Company’s core U.S. businesses and functions. In addition to his legal duties, for several years Tim had oversight responsibility for the Company’s Global Compliance & Ethics Organization and program. In 2017, Tim served as the Company’s Acting General Counsel on an interim basis.

Tim joined American Express in 1983 after working for a NY law firm (Breed, Abbott & Morgan) and clerking for the Chief Judge of the Federal District Court in New Jersey.

Tim received a B.S. in Economics from the Wharton School at the University of Pennsylvania, and his J.D. from Fordham Law School. He and his wife, Sue, live in Spring Lake, NJ and have three grown sons.