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Compliance & Ethics Essentials 2020

Speaker(s): Adam Siegel, Andrea DeShazo, April Oliver, Benjamin Gruenstein, Brian Kaplan, Daniel Garen, James C. Knapp, Jeffrey M. Kaplan, Jeffrey S. Spalding, Jill U. Edmondson, Joseph E. Murphy, Kamil R. Shields, Kevin B. Muhlendorf, Lisa Hughes, Marcia Narine Weldon, Mark Rowe, Patti E. Russell, Randi Roberts, Sabeena Ahmed Liconte, Sonia Zeledon
Recorded on: Jun. 29, 2020
PLI Program #: 278558

Sabeena Ahmed Liconte currently heads the Legal and Compliance Division and is Chief Compliance Officer of BOC International (USA) Holdings Inc. and its two subsidiaries, BOCI Commodities & Futures (USA) LLC, a registered futures commission merchant of the Bank of China International, and BOC International (USA) Inc., a registered broker-dealer.

Sabeena also serves as principal and legal advisor to Castro & Ahmed LLP ( and Liconte Law PC ( (formerly doing business as Sabeena Ahmed PC), a New York City-based boutique legal and compliance consulting practice servicing small to mid-sized firms, non-profits and corporations. The firm also specializes in financial services issues impacting broker-dealers, investment advisors, banks, futures commission merchants, swap dealers, retail foreign exchange dealers, commodity pools, hedge funds, mutual funds, commodity trading advisors, swaps firms, and other registered and banking and non-banking entities.

Sabeena is an active member of the American Bar Association, the New York State Bar Association, the New York City Bar Association and the New Jersey State Bar Association. She is admitted to practice law before several U.S. federal courts.

She holds a Bachelor of Arts in Criminology and Political Science from the University of Toronto, a Master of Arts in International Relations from Columbia University and a Juris Doctor from the St. John’s University School of Law.

Sabeena previously served as in a range of compliance, legal and governmental roles, including Merrill Lynch’s Office of General Counsel, the Division of Enforcement at the Financial Industry Regulatory Authority (FINRA), the Bank of New York Mellon’s Legal Division, the Securities Fraud Prosecution division of the Attorney General’s Office for the State of New Jersey, and the Council on Accreditation.

Adam is a partner based in our New York office and the head of our US dispute resolution practice as well as co-head of our global investigations practice. He represents clients facing government investigations and related civil litigation. Clients in a broad range of industries rely on him to defend them in investigations conducted by the US Department of Justice (DOJ), the Securities and Exchange Commission (SEC) and the State Attorneys General in matters involving alleged violations of the Foreign Corrupt Practices Act, insider trading, tax fraud and accounting fraud. He also conducts internal investigations on behalf of clients in a wide range of industries.

Adam works regularly with other firm lawyers around the world, defending multijurisdictional investigations, developing compliance and training programs tailored to the global regulatory regimes faced by clients, and conducting due diligence regarding bribery and other risks in corporate transactions.

He has been recognized by Chambers, The Legal 500 and Benchmark Litigation, among other leading publications. Prior to joining Freshfields, Adam was an Assistant US Attorney in the Criminal Division of the US Attorney’s Office for the Southern District of New York. There he served as Deputy Chief and Chief Appellate Attorney.

Adam received his JD, magna cum laude, from Harvard Law School and his AB, magna cum laude, from Harvard University. He is admitted to practice in the State of New York.

Adam’s recent matters include:

  • conducting internal investigations regarding a variety of allegations in approximately 10 countries in Asia, Latin America, Africa and the Middle East for a multinational energy company;
  • representing a Swiss financial institution in extended discussions with the DOJ and other regulators concerning its tax compliance;
  • representing a global engineering company in internal reviews of corruption allegations and in discussions with multilateral development banks;
  • defending a multinational pharmaceutical company in an inquiry conducted by the DOJ and SEC into relationships with officials in countries in Europe, Africa, Asia and Latin America;
  • conducting an internal investigation for a multinational manufacturing company involving allegations concerning its sales agents throughout the Middle East; and
  • defending the European affiliate of a Big Four accounting firm in an investigation by the SEC and the Public Company Accounting Oversight Board regarding the audit of a client.

Andrea DeShazo is Orbia’s Chief Compliance Officer. Orbia is a publicly traded Mexican corporation with 22,000 employees, operations in 41 countries, and commercial activities in over 100 countries. She is a seasoned compliance expert with more than 20 years of legal experience. Prior to joining Orbia, Andrea was an Assistant General Counsel at Western Digital, where she led the compliance training & communication and investigations teams, and a Sr. Director at McKesson, where she oversaw the investigations and anti-corruption programs. She started her career in private practice and as a public defender in California. Andrea is a graduate of the University of Virginia School of Law and Dartmouth College. She enjoys exploring the Boston area – near Orbia’s US Headquarters – with her husband and daughter.

April currently is a SVP and Associate General Counsel at Salesforce. She is a member of the Legal and Corporate Affairs (LCA) leadership team. She heads the Office of Ethics & Integrity, a global business unit reporting to the LCA President and General Counsel. She provides the strategic vision for the global ethics and integrity program and oversees legal compliance training, policy development, and related investigations. She has direct reports in EMEA, APAC, LACA and US public sector, in addition to HQ. She is a member of the Compliance and Risk Committee, a cross-functional group of senior business leaders at Salesforce that is the company's risk assessment body.

Benjamin Gruenstein is a partner in Cravath’s Litigation Department and a member of the Firm’s Investigations and White Collar Criminal Defense practice.  His  practice focuses on the representation of U.S. and multinational companies and their senior executives in government and internal corporate investigations in such areas as the Foreign Corrupt Practices Act (“FCPA”), healthcare fraud, insider trading, criminal antitrust, accounting fraud and trade sanctions and accompanying civil litigation.  Mr. Gruenstein has handled both domestic and cross-border investigations, including in Latin America, Asia and Europe.

Prior to joining Cravath, Mr. Gruenstein served as an Assistant U.S. Attorney in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York from 2002 to 2008.  He returned to Cravath in 2008, and became a partner in 2012.

Mr. Gruenstein is a fellow of the American Bar Foundation.  Mr. Gruenstein has been recognized for his white collar criminal defense work by Benchmark Litigation (2016-2020) and The Best Lawyers in America (2016-2021).  He has also been recognized by The Legal 500 United States for white collar criminal defense work (2016-2021), general commercial disputes (2019-2020), securities litigation and related regulatory enforcement matters (2015-2017) and for his experience in the media and entertainment industry (2017-2018).  From 2013 through 2018, Mr. Gruenstein was selected by Lawdragon as one of “500 Leading Lawyers in America.”  From 2019 through 2021, Chambers USA recognized him as a leading lawyer in White-Collar Crime & Government Investigations, with a client calling him “the most strategic lawyer I’ve ever worked with” and a peer describing him as having “impeccable judgment” and “total command of the facts of a case” and as being “outstanding with clients.” Together with his colleagues, Mr. Gruenstein earned the Firm a top tier ranking for Criminal Defense: White Collar in the U.S. News–Best Lawyers “Best Law Firms” survey.

Mr. Gruenstein received an A.B. summa cum laude in Philosophy and Mathematics from Harvard College in 1996, where he was elected to Phi Beta Kappa, and a J.D. magna cum laude from Harvard Law School in 1999, where he was an Editor of the Law Review.  After graduating from law school, Mr. Gruenstein clerked for the Honorable Stephen F. Williams of the U.S. Court of Appeals for the D.C. Circuit and for the Honorable David H. Souter of the U.S. Supreme Court.  

Brian S. Kaplan serves as the Chair of DLA Piper’s US Employment Practice, and Co-Chair of the Global Employment Practice. For twenty-five years, Brian has represented leading employers and prominent senior executives in all aspects of employment-related litigation before federal and state courts, administrative agencies and arbitration panels. Brian’s representations include defense of claims of employment discrimination, harassment and retaliation; disputes involving the enforcement of restrictive covenants; tort claims such as fraud, breach of fiduciary duty, tortious interference; and employee misclassification claims. Brian’s clients cover a variety of industries, including financial services, retail and apparel, media and higher education, among many others, and include high profile and Fortune 500 companies.

Beyond litigation, Brian regularly advises employers and C-Suite executives on a broad array of employment-related matters, including pragmatic considerations for litigation avoidance and pre-litigation resolution of claims; employee terminations and other disciplinary actions; employment, consulting and separation agreements; and conducting internal investigations of alleged harassment and other employee misconduct.

A graduate of Harvard Law School and the University of Pennsylvania (Wharton), Brian has been repeatedly recognized by publications such as The Best Lawyers in America (in the area of Litigation – Labor & Employment); Legal 500 (as a leading litigator in the Labor and Employment Disputes category); Chambers USA (as a "Noted Practitioner" in Labor & Employment – New York); American Lawyer Media and Martindale-Hubbell (as a Top-Rated, AV Preeminent Lawyer in Labor & Employment); and New York Metro Super Lawyers.

Daniel Garen is a healthcare compliance and technology lawyer who develops and helps implement best-in-class compliance and risk management strategies at public and private pharmaceutical, biotechnology, medical device and technology companies around the world. He uses quantitative analysis and process optimization to counsel clients on mitigating risk and streamlining business workflows. Daniel uses a continuous improvement suite of tools to deploy compliance as a business accelerator.

Daniel has led the resolution efforts for multi-jurisdictional deferred prosecution agreements, corporate integrity agreements, corporate raids and civil investigative demands. He also provides strategic advice to management teams and boards on the use of data visualization and statistical analysis to understand complex legal matters.

Daniel was previously the head of clinical affairs for a Fortune 100 company and brings a deep understanding of clinical collaborations with academic institutions.  He also advises commercial and research organizations on product launch strategies based on market intelligence and approved labeling.   Further, he has served as chief compliance officer for several large and medium cap multinational organizations.

James Knapp is the Investigations Director in the Ethics Office of the Compliance Department at Freddie Mac, where he has worked since 2012. In that time, Mr. Knapp has conducted several hundred internal investigations on topics ranging from fraud to business courtesies issues to HR-related matters. He also oversees Freddie Mac’s Foreign Corrupt Practices Act program, provides training to new employees, managers, and officers, and creates informational outreach materials to promote the company’s ethics program.

Prior to joining Freddie Mac, Mr. Knapp spent five years as a litigator with the law firm of Latham and Watkins in Washington, DC, where he practiced in the firm’s White Collar and Government Investigations practice group. His practice focused on accounting fraud and international corruption, with an emphasis on Foreign Corrupt Practices Act matters.

Mr. Knapp holds a Bachelor of Arts degree and a Juris Doctor degree magna cum laude from the University of Michigan. He is admitted to the Bars of Michigan and Washington, DC and is a Corporate Counsel member of the Virginia Bar. Mr. Knapp is a Certified Compliance and Ethics Professional.

Jeffrey M. Kaplan is a partner in the Princeton, New Jersey office of Kaplan & Walker LLP.   For twenty-five years he has specialized in assisting companies in developing, implementing and reviewing corporate compliance/ethics programs. This work has included conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case.  He has also conducted numerous program assessments. Mr. Kaplan’s compliance/ethics program practice has included work for clients in the health care, medical devices, pharmaceuticals, automotive, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, education, consulting, telecommunications, technology, securities, private investments, food and chemical fields, as well as non-profit organizations.   

Mr. Kaplan has, on four occasions, been an independent consultant or monitor for vendors suspended by the World Bank, reporting to the Bank on their respective compliance programs;  has  performed a similar review for the United Nations; has served as a compliance monitor in a criminal tax case for the New York County District Attorney; has reviewed and reported to the Department of Justice and SEC on a company’s compliance/ethics program in connection with the settlement of an FCPA-related investigation and has served in a similar role in another FCPA case for the SEC; and has reviewed and reported to a state attorney general on another company’s compliance/ethics program in connection with a settlement of a fraud-related matter.  He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers and others.  He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980.  He is a former partner of Chadbourne & Parke, where he served in the Special Litigation Group, and also a former partner of Arkin Kaplan & Cohen LLP and of Stier Anderson, LLC.    In 2009, he was a recipient of a Compliance and Ethics Award from the Society for Corporate Compliance and Ethics, which that organization bestows annually on “Compliance and Ethics Champions.” 

Mr. Kaplan is, together with Joe Murphy and Win Swenson, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance/ethics programs.  He also publishes a bi-monthly column for Compliance and Ethics Professional and has authored or co-authored e-books on risk assessment (for CCI), behavioral ethics (for Ethical Systems), and ethical culture (for ECI).

Mr. Kaplan is a co-chair of the Practising Law Institute’s annual Advanced Compliance and Ethics Workshop and for many years chaired the Continuing Legal Education program in corporate compliance sponsored by the Association of the Bar of the City of New York. He is editor of the Conflict of Interest Blog.  He was for twelve years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a contributor to and a member of the Steering Committee of the Ethical Systems research project which is run by a professor at that school. He is a member of the New York and New Jersey bars. 

Jill U. Edmondson, Workplace Ethics and Concerns Manager, is responsible for the day-to-day operations and administration of Georgia Power’s Ethics and Concerns program and processes. The team’s efforts will focus on positively influencing and shaping company culture by identifying workplace trends, issues and risks with potential impact to the company.  Jill joined Georgia Power in December 2018 from Home Depot where she spent thirteen years leading their global compliance and ethics program. With over twenty-five years of regulatory compliance and ethics experience, Jill also worked in the financial services industry.  Jill previously worked with such firms as ING, Invesco and AXA Financial. She formerly held the FINRA Series 7, 24, 63 and 65 licenses.

Jill has a JD from Mercer University School of Law and a BBA from Goizueta Business School at Emory University. She is a member of the State Bar of Georgia, the Georgia Association of Black Women Attorneys and holds the Certified Compliance and Ethics Professional (CCEP) certification through The Society of Corporate Compliance and Ethics (SCCE). Jill currently serves as a Board Member for the Mercer Law School Alumni Association. She is a former board member of The Atlanta Compliance and

Ethics (ACE) Roundtable. Jill frequently serves all over the country as a speaker on corporate compliance and ethics topics.

Kevin Muhlendorf is a Partner in Wiley’s White Collar & Government Investigations Practice and a Co-Chair of Wiley’s Foreign Corrupt Practices Act (FCPA) and Anti-Corruption Practice. His practice focuses on securities fraud, defense procurement fraud, health care fraud, and FCPA matters. As a former Assistant Chief in the Fraud Section of the Criminal Division of the U.S. Department of Justice (DOJ) and Senior Counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), Kevin has a unique experience he brings to defending complex, and often overlapping, civil and criminal enforcement investigations. He relies on his extensive prosecutorial experience to develop innovative investigative and trial strategies.

A sampling of Kevin’s recent representative matters include:

  • Representing executives of multiple NYSE listed companies in parallel DOJ and SEC insider trading investigations.
  • Representing physician in DOJ and U.S. Department of Health & Human Services (HHS) Office of Inspector General health care fraud and off label marketing investigation.
  • Defending executive in DOJ and SEC pharmaceuticals industry insider trading investigation.
  • Representing medical device manufacturer in complex investigation concerning allegations of off label promotion. 
  • Representing bitcoin-based trading platform in SEC/CFTC suits and related DOJ forfeiture action.
  • Advising cryptocurrency-based securities and commodities trading platforms on Anti-Money Laundering “Know Your Customer” rules.

Recognized for his extensive experience in the industry, Kevin’s articles and commentary have been featured in numerous publications, including Thompson Reuters/Westlaw, Global Investigations Review, Bloomberg Law, Business Insurance, and Law360, and he is a frequent speaker on issues of criminal law, FCPA, and securities law enforcement. He has been an Adjunct Professor in Complex Securities Investigations at Georgetown University Law Center since 2015. Kevin received his J.D. from the William & Mary Law School and B.A. from the University of Virginia.

Mark Rowe is a manager in Deloitte’s Risk & Financial Advisory practice, specializing in Regulatory & Operations Risk. His main areas of focus include the design, development, and enhancement of enterprise ethics, compliance, and risk management programs. He has gained nearly 20 years’ consulting experience, advising clients across a broad range of industries, including consumer products, energy and resources, financial services, industrial products, technology, and telecommunications.

Mark has helped clients to develop, scale, and embed strategic initiatives to reduce risk, strengthen operating culture, and drive performance with integrity. Areas of specialist knowledge and experience include: ethics and compliance program strategy, design, and implementation; program evaluation and enhancement; risk assessment; code of conduct development; policy review and simplification; organizational culture assessment and transformation; training and communications; and values alignment. Aside from the relevant technical knowledge and experience, Mark also brings the analytical and influencing skills he gained from nine years’ practice as a commercial litigation lawyer in London.

Prior to joining Deloitte in May 2016, Mark was a leader in the advisory practice of a leading ethics and compliance training company. He advised clients on leveraging a focus on governance, culture, and leadership to drive “principled performance.” He led the company’s Code of Conduct Services practice.

From 2002 to 2007, Mark served on the staff of the world-renowned W. Michael Hoffman Center for Business Ethics at Bentley University in Massachusetts, where he managed research, executive education, and outreach programs.

Mark has published numerous articles in leading academic and practitioner journals and has provided business ethics commentary and analysis for broadcast and online media, including CNN, CNBC, NPR, and The Wall Street Journal. Having helped to establish the Rutgers Center for Government Compliance and Ethics in Camden, New Jersey in 2010, Mark serves on its Advisory Board.

Mark was born and grew up in the United Kingdom and has lived in the United States since 2002. He holds a law degree from the University of Exeter. He was admitted to practice law as a Solicitor in England and Wales in 1990.     

Patti Russell is a seasoned legal and compliance executive and adviser to senior leaders and boards of directors. Prior to her retirement in 2017, Ms. Russell served as Senior Vice President and Chief Ethics and Compliance Officer (CECO) at Becton Dickinson and Company (BD), a global Fortune 300 medical technology and life sciences company. She has extensive experience in building, leading and directing strategy for global compliance and ethics programs; employment, commercial and regulatory law; litigation and mediation; investigations; corporate governance; training; and crisis management. 

Ms. Russell is currently President of P. E. Russell, LLC, providing advisory, legal and mediation services on a variety of compliance, employment, regulatory, litigation, business and ethics matters, including pharmaceutical compliance, investigations, employment disputes, transactions, clinical trials, sales practices, governance and business strategy. She also recently served as interim general counsel for an emerging subsidiary at a biotech company. Ms. Russell is a civil mediator in New Jersey and New York, and an adjunct faculty member of Rutgers Business School.  

As CECO at BD, Ms. Russell successfully designed, built and led the worldwide ethics and compliance program, including ethics, training and communications, governance, healthcare compliance, investigations, risk assessment and management, anti-corruption, business transparency and privacy. She concurrently served as VP and Associate General Counsel, directing global administrative strategies for the law department and providing counsel on various topics to business leaders. Previously, until 2009, Ms. Russell served as Chief Employment Counsel, responsible for all human resource and employment matters worldwide.  

Ms. Russell serves on several boards and committees, including the boards of trustees of The Raptor Trust in New Jersey and the Act Now Foundation – Alzheimer’s Resource Center of New Jersey, the advisory board of Rutgers Law School Center for Corporate Law and Governance, the board of the Dispute Resolution Section of the New Jersey State Bar Association, and the bioethics committee of Overlook Medical Center, Atlantic Health Systems. 


Ms. Russell received a B.S. degree in public policy from Cornell University, and a J.D. degree from New York University School of Law. 

Randi Roberts has over 20 years of experience in corporate compliance and ethics program management, in both the public and private sectors.  She is currently a Vice President & Associate General Counsel at PVH Corp., a New York-based, global apparel and fashion company, whose iconic brands include Calvin Klein and Tommy Hilfiger, among others.  In this role, Randi has global responsibility for leading, managing and designing PVH’s corporate compliance program, and leads a global team that manages all aspects of PVH’s compliance program, with a focus on anti-corruption, data privacy, conflicts of interest, economic sanctions, antirust, fraud risk and gifts and hospitality.  Prior to joining PVH, Randi was Senior Compliance Officer for 2 ½ years at Criteo, a publicly traded French advertising technology company, where she led its global compliance program, and travelled extensively to conduct training, risk assessments and internal investigations.  Before Criteo, Randi was Vice President of Compliance for 12 years with NBCUniversal, a global entertainment company, where she managed all components of its global compliance program.  In this role, she served as a company ombudsperson, led significant internal investigations, conducted M&A compliance due diligence in many acquisitions, and designed and implemented a best-in-class, automated Intermediary Management System for addressing third party anti-corruption risks.  She has also worked in private practice as a litigation associate at a major NYC law firm; as a special counsel with a NYC agency responsible for investigating fraud, waste and abuse within the NYC public school system; and as a consultant in the Fraud Risks & Controls Group at PwC. 

Sonia Zeledon is the Associate General Counsel, Ethics, Compliance and Data Governance, for The Hershey Company in Miami, Florida.  Previously, she held the position of Regional Counsel-Americas for the Business Integrity Group at the Nokia Corporation. She has also held in-house counsel positions at LatAm Investments, LMI and LivingSocial, and was an associate at large law firms Skadden Arps and White & Case for approximately 9 years.

Ms. Zeledon serves on The Hispanic National Bar Association (HNBA) Board of Governors.  She is a frequent speaker on compliance and ethics, including anti-corruption practices. She earned a B.A. in Economics and Math from Wellesley College and a B.S. in Math and Economics from MIT; she also holds a J.D. from the University of Miami School of Law.

FactSet creates flexible, open data and software solutions for over 160,000 of investment professionals around the world, providing instant anytime, anywhere access to financial data and analytics that investors use to make crucial decisions.  Ms. Stewart Hughes is responsible for the overall direction, design and implementation of FactSet’s global ethics and compliance program, and she advises the company and the Board on multiple risk areas including harassment prevention, data privacy, and enterprise risk management.  Prior to joining FactSet in March 2021, she served as Chief Compliance Officer at Endeavor Group Holdings and as Deputy Chief Compliance Officer at NBCUniversal. 

Ms. Stewart Hughes is an author, speaker and expert on building and implementing effective compliance programs, as well as a trainer and advocate for gender equity, harassment prevention, and diversity and inclusion.  She has published, lectured and led workshops for organizations including the Practicing Law Institute, the Society of Corporate Compliance and Ethics, and the Business Roundtable on Ethics.  She serves on the Board of Directors for non-profit storytelling organization, The Moth, and is an advisor to a startup compliance training company, Ethena. 

Ms. Stewart Hughes received her J.D., from Harvard Law School and is a graduate of Yale University, where she received her cum laude BA in Political Science.  She enjoys writing, yoga, vegan cooking and international travel.

For 40 years, Joe Murphy, CCEP, has been a tireless champion of compliance and ethics in organizations and has done work in this field on six continents. Joe has published over 100 articles and given over 200 presentations in 17 countries.  Joe is author of 501 Ideas for Your Compliance & Ethics Program and A Compliance & Ethics Program on a Dollar a Day. He is a Certified Compliance & Ethics Professional and a member of the board of the Society of Corporate Compliance & Ethics. Joe was named one of The National Law Journal’s 50 Governance, Risk and Compliance Trailblazers and Pioneers 2014.

A renowned expert in his field, Joe is an established author and lecturer who travels the world helping compliance and ethics professionals steer their companies and other organizations along the straight and narrow path.

Practicing for twenty years in-house, and twenty years as an outside advisor in the field of organizational compliance and ethics, Joe can travel throughout the world and be welcomed on a first name basis among the champions of compliance everywhere.

Joe has advised governments, companies, non-governmental organizations and universities around the world about the nuances of implementing an effective compliance and ethics program. Compliance techniques that he wrote about as early as the 1980s are now accepted best practices.

Joe is an international proponent of the compliance and ethics field, one of the few careers left where, as he puts it, “you can do well and do good at the same time.”

Please check out this site and don’t hesitate to reach out to Joe for anything related to compliance and ethics.

Jeff Spalding is Senior Vice President and Deputy General Counsel at Halliburton. He also serves as Chief Compliance Officer. Previously he was Vice President and Chief Compliance Officer.

Mr. Spalding joined Halliburton in January 2010 as Chief Anti­Corruption Counsel and Assistant General Counsel. In this role he led the Anti-Corruption & International Compliance Group in its initiatives and investigations across the Company's global operations. In 2014 he became Vice President of Ethics & Compliance, and in 2015 he was appointed to his most recent role, Vice President and Chief Compliance Officer.

Before joining Halliburton, Mr. Spalding was Senior Corporate Counsel for Compliance at Target Corporation, where he led the retailer's global anti-corruption program. Before entering the private sector, he served as Deputy Chief in the Criminal Division of the US Department of Justice in Washington DC, and as Assistant US Attorney in the Criminal Division of the US Attorney's Office in Chicago, Illinois, where he prosecuted cases of public corruption, health care fraud, violent crime, and narcotics crime. He also served as Senior Counsel to US Senator Diane Feinstein for the US Senate Judiciary Committee, where he advised the senator on issues of crime and national security.

Mr. Spalding holds a Bachelor of Arts in history and political science from Alma College in Michigan, and a Juris Doctorate in Law from University of Michigan Law School. He is a member of the State Bar of Michigan and the American Bar Association. In 2007 he served as anti­corruption advisor in Moscow for the American Bar Association Rule of Law Initiative.

Kamil Shields is a partner in the Firm’s Litigation Group. Her practice focuses on investigations and regulatory enforcement proceedings involving cybercrime matters, public corruption, and bank and wire fraud.

Ms. Shields rejoined the Firm in 2019 from the United States Attorney’s Office for the District of Columbia, where she served as an Assistant United States Attorney in both the Cyber Crime and Fraud and Public Corruption sections. In her capacity as an Assistant United States Attorney, Ms. Shields served as lead prosecutor in 13 jury trials, ranging from fraud to violent crime matters, investigated and indicted dozens of cases, drafted and argued procedural and substantive motions, worked with expert witnesses, and coordinated with victims of fraud and other crimes.

Her representative matters include the prosecution of individuals engaged in concerted business email compromise schemes through means of ransomware, cyber intrusions resulting in the unlawful acquisition of personal identifying information used to commit wire and bank fraud affecting thousands of victims, an extortionate racketeering scheme involving demands for virtual currency, and romance scam frauds in which victims were induced to pay monies by means of social engineering.

Ms. Shields was part of the team that successfully litigated the requisite standard by which the government may compel biometric access to electronic devices during the execution of a search warrant, an issue of first impression in the District of Columbia. Additionally, Ms. Shields investigated several high-profile public corruption and fraud matters involving, among others, alleged violations of the federal false statements, obstruction, and perjury statutes, and the Foreign Corrupt Practices Act. Ms. Shields received several special achievement awards for her efforts in the office.

She is a member of The Edward Bennett Williams American Inn of Court, an invitation-only professional organization devoted to advancing the practice of white collar criminal prosecution and defense.

Prior to her government service, Ms. Shields was an associate in Sullivan & Cromwell’s New York office, where she focused on complex financial litigation and investigations. While an associate at S&C, Ms. Shields was recognized as a “Rising Star” by New York Super Lawyers (2013, 2014).

Selected Representations

  • A major international bank in an investigation by the Department of Justice into its anti-money laundering controls.
  • A major international bank in an investigation by the Department of Justice and the New York State Department of Financial Services into alleged sanctions violations.
  • An e-commerce company in connection with an internal investigation and advising on its compliance program and internal controls.
  • A global private equity firm in investigations by the Securities and Exchange Commission and the New York Attorney General related to certain financial projections in marketing materials.

Recent Speaking Engagements and Events

  • Panelist, “Responding to the Investigation,” PLI’s Government Investigations 2021: Investigations Arising from Data Breach and Privacy Concerns and Parallel Proceedings Webinar (January 27, 2021)
  • Panelist, “Cybersecurity and Global Compliance,” PLI’s Compliance & Ethics Essentials 2020 (June 29, 2020)
  • Panelist, “Responding to the Investigation,” PLI’s Government Investigations 2020: Investigations Arising from Data Breach and Privacy Concerns and Parallel Proceedings (January 31, 2020)
  • Panelist, “Fourth-Party Cyber Risk: Securing the Endpoints of Your Business Ecosystem,” RANE (October 8, 2019)