Creating a Strong Corporate Compliance Program

Ivan Fong is Senior Vice President, Legal Affairs and General Counsel of the 3M Company, a $32.8 billion global, diversified technology company based in St. Paul, Minnesota.  Ivan has been named one of “America’s 50 Outstanding General Counsel” by the National Law Journal, and under Ivan’s leadership, 3M’s law department was recognized by Corporate Counsel as one of the Best Legal Departments of the Year and by the Financial Times as one of the Most Innovative In-House Legal Teams in 2015 and again in 2017.

Prior to joining 3M in October 2012, Ivan was nominated by President Obama and unanimously confirmed by the U.S. Senate to serve as General Counsel of the U.S. Department of Homeland Security, leading a team of over 1,800 lawyers in the Department’s headquarters and seven operating components. Prior to his government service, Ivan was the Chief Legal Officer and Secretary of Cardinal Health, Inc., a $91 billion global healthcare company based in Dublin, Ohio, where he was selected to be one of the “Twenty Most Influential General Counsel” by the National Law Journal. He was previously Senior Vice President and General Counsel of GE Vendor Financial Services and before that was GE’s first Chief Privacy Leader and Senior Counsel, Information Technology. 

Ivan also previously served as Deputy Associate Attorney General at the U.S. Department of Justice; a partner with the law firm of Covington & Burling in Washington, DC; and an adjunct professor at the Georgetown University Law Center. He began his legal career as a law clerk to Judge Abner J. Mikva of the U.S. Court of Appeals for the D.C. Circuit and Justice Sandra Day O’Connor of the U.S. Supreme Court.

Ivan currently serves on the boards of Equal Justice Works and Minnesota Public Radio. He is also a member of the Council of the American Law Institute and the Leaders Council of the Legal Services Corporation. Ivan has previously served on the board of the 3M Foundation, chair of the Association of Corporate Counsel, chair of the American Bar Association’s Section of Science & Technology Law, and a trustee of Stanford University. He has received, among other honors, the Amicus Curiae Award from the Supreme Court Historical Society, the Trailblazer Award from the National Asian Pacific American Bar Association, the Justice-in-Action Award from the Asian American Legal Defense and Education Fund, Inc., and the Spirit of Excellence Award from the ABA.

Ivan holds a B.C.L. with first class honors from Oxford University, where he was a Fulbright Scholar. He received his J.D. (with distinction) from Stanford Law School, where he was president of the Stanford Law Review, and an S.B. in chemical engineering and an S.M. in chemical engineering practice from MIT, where he was elected to Phi Beta Kappa and was chairman of the student newspaper. A registered patent attorney, he is admitted to the bars of California (inactive), Connecticut, the District of Columbia, Minnesota, and Ohio.

He and his wife Sharon reside in Minneapolis and have three adult children.

Lori Martin is a partner in the New York office of WilmerHale. Lori is an experienced litigation and enforcement attorney whose practice focuses on litigation and regulatory proceedings involving investment advisers, open and closed-end investment companies, hedge funds, and broker dealers offering investment advisory services. She was selected as the “Mutual Funds Law Lawyer of the Year” in the New York area by the Best Lawyers in America® 2014.

In various editions of Chambers USA, clients praise her as a “very smart and knowledgeable” and “incredibly hard-working and smart” practitioner, “an excellent negotiator” and “a practical and intelligent adviser,” and she is “held in high regard for her expertise in handling complex securities litigation related to mutual funds.” The Legal 500 United States describes her as “an unparalleled star, being very smart, conscientious and experienced with both commercial and regulatory litigation.”

Lori is a frequent participant in industry conferences regarding the investment advisory industry and complex litigation. She has authored numerous publications on securities litigation. She is a member of the following committees and bar associations, The American Law Institute Council; Investment Management Regulation Committee, Association of the Bar of the City of New York; Investment Companies and Investment Advisers Subcommittee of the Committee on Federal Regulation of Securities, Business Law Section, American Bar Association; and Hedge Funds Subcommittee of the Committee on Federal Regulation of Securities, Business Law Section, American Bar Association.