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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
Recorded on: Jun. 24, 2020
PLI Program #: 277645

Aryeh Friedman is the Chief Compliance Officer at Dun & Bradstreet, a global business data and analytics company. He has responsibility for global compliance with data protection laws, anti-corruption, export and trade sanctions laws, lobbying and political contribution compliance, enterprise risk management, record and electronic information management, compliance investigations and ethics training.

Prior to joining Dun & Bradstreet, Mr. Friedman was the VP, Associate General Counsel and Chief Privacy Officer at Pfizer. Mr. Friedman also has an extensive background in competition and antitrust law, having served as Chief Antitrust Counsel at Wyeth and before that at British Telecom and AT&T. Prior to going in-house Mr. Friedman was a senior associate at Drinker, Biddle & Reath and Paul, Weiss, Rifkind Wharton & Garrison.

Mr. Friedman has taught for over 25 years at the Wharton School of the University of Pennsylvania in the Legal Studies and Business Ethics Department teaching business ethics and the legal aspects of marketing and antitrust. Mr. Friedman is Vice Chair of the ACC’s Compliance and Ethics Committee and the ABA’s Privacy and Information Security Committee. He is also a member of the Board of the New Jersey ACC Chapter.

Mr. Friedman received a BS from Cornell University and is a graduate of the New York University School of Law. He also studied at the London School of Economics.

Aryeh can be contacted at 973.921.5535 or

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 fixed income derivative transactions.  Since 2007, he has been with the New York office of the Paris based corporate and investment bank, Crédit Agricole Corporate and Investment Bank, where he currently is a Managing Director and Senior Counsel and is the Head of Fixed Income Derivatives for the Americas – Legal.  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. Booker has previously been a presenter at various programs conducted by the Practicing Law Institute, the American Bar Association, ACI, FTF and SIFMA and he has spoken at classes at the University of Pennsylvania Law School and the Fordham University Law School.  In addition, Mr. Booker is a member of the New York State Bar Association (where he is a member of the Derivatives and Structured Products Committee), the Bar Association of the City of New York (where he is a member of the Futures and Derivatives Committee) and the Association of Corporate Counsel (where he is a member of the Energy Committee and the Financial Services Committee).  Mr. Booker is also a member of SIFMA’s Derivative Task Force Committee and ISDA’s Credit Derivatives Committee among others.

Mr. Booker is a native Manhattanite and resides in Manhattan with his wife and two children.  He is also an avid wine collector, traveler and skier.

Tim Heine is Executive Vice President & Managing Counsel for American Express, and has oversight responsibility for the teams in the General Counsel’s Organization that provide primary legal support for several business units, including US Consumer, Corporate, and Merchant and Network Services, US Banking, Digital, Prepaid and Alternative Payments and Global Advertising and Brand Management.  His duties also include oversight of certain legal subject areas such as Bank Regulatory, Advertising and Insurance, and for federal and state legislative and regulatory monitoring and support.

Tim joined American Express in 1983.  Prior to that, he was associated with the law firm of Breed, Abbott and Morgan in New York City after clerking for the Chief Judge of the Federal District Court for the District of New Jersey.  He is a member of the bar in New York and New Jersey.

Tim received a B.S. in Economics in 1977 from the University of Pennsylvania’s Wharton School of Business and his J.D. degree in 1980 from Fordham Law School. 

As Guardian’s Senior Vice President, Chief Ethics & Compliance Officer, Noreen leads the ethics and compliance program for the enterprise including responsibility for Guardian’s Code of Conduct.  Noreen’s responsibilities include oversight of 87 compliance professionals who have accountability for business unit compliance and corporate shared services compliance including anti-money laundering and sanctions compliance, privacy law and compliance, anti-bribery/anti-corruption law and compliance, oversight of all regulatory inquiries and exams including market conduct exams, FINRA and SEC examinations, compliance risk assessments, the records retention program, customer complaints reporting and metrics, policy governance and compliance training.

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, Noreen was responsible for a team of 70 compliance professionals located throughout the United States supporting the respective business divisions. 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.

In 2019, 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.  In 2018 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 was recently named to the Advisory Board of the American College Center for Ethics in Financial Services.  Noreen is a graduate of Seton Hall Law School and is a frequent speaker on compliance and ethics issues and has authored pieces on building an FCPA compliance program. 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 Advancing Women Executives and Legal 50.