Doreen Lilienfeld

Doreen Lilienfeld

Shearman & Sterling LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Governance & Securities Law Focus: Asia Edition

In this issue: - ASIAN DEVELOPMENTS - HKEx Publishes Revised Connected Transaction Rules - US DEVELOPMENTS - SEC Developments - PCAOB Adopts Auditing Standard and Amendments -...more

7/16/2014 - Asia Audits Corporate Social Responsibility DOJ Employee Benefits Enforcement Enforcement Actions ESMA EU European Commission HKEx MiFID OTC PCAOB SEC UK

Governance & Securities Law Focus: Europe Edition

In this issue: - EU DEVELOPMENTS - Statutory Audit Directive and Regulation Published in Official Journal - Council Adopts Intra-Corporate Transferees Directive - ESMA Publishes Consultation and...more

7/14/2014 - Audits Corporate Governance Corporate Social Responsibility Derivatives EMIR ESMA EU MiFID OTC Prospectus Shareholder Rights Shareholders

Recent Diversity Mandates Impacting US Financial Regulators and Financial Institutions on Both Sides of the Atlantic

There has been no shortage of press coverage about the lack of employment diversity in the financial services sector. Now, both the US Congress and the European Union have taken action in an attempt to remedy historical...more

3/4/2014 - Discrimination Diversity Dodd-Frank EU Financial Regulatory Reform

Governance & Securities Law Focus: Europe Edition, January 2014

In this issue: - EU Developments - Italian Developments - UK Developments - US Developments - Asian Developments - International Financial Markets Regulation Developments -...more

1/28/2014 - Corporate Governance ETFs EU Securities UCITS

Nasdaq Proposes Modifications to Compensation Committee Independence Requirements

On November 26, 2013, the NASDAQ Stock Market (“Nasdaq”) filed a proposal to amend its listing standards regarding compensation committee independence (the “Proposal”). The modifications would provide Nasdaq-listed companies...more

12/10/2013 - Compensation Committee Compliance Executive Compensation Nasdaq

ISS Publishes 2014 Corporate Governance Policy Updates

On November 21, 2013, Institutional Shareholder Services Inc. (“ISS”) released its final US policy updates for the 2014 proxy season (the “2014 Policies”), having received comments to its draft policies released on October...more

11/27/2013 - Corporate Governance Human Rights ISS Pay-for-Performance Risk Assessment Shareholders

Pay Ratio Rules: Practical Compliance Challenges

On July 21, 2010, in response to the financial crisis, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 was signed into law. In passing Dodd-Frank, legislators hoped to curb the risk-taking behaviors that...more

11/13/2013 - C-Suite Executives Disclosure Requirements Dodd-Frank Executive Compensation Pay Ratio Transparency

ISS Publishes 2014 Draft Policy Changes; Comments Due by November 4, 2013

On October 21, 2013, Institutional Shareholder Services Inc. (“ISS”) published its key draft policy changes for the 2014 proxy season (the “Draft Policies”). There are only two proposed updates for the US, neither of which...more

10/28/2013 - Board of Directors CEOs Executive Compensation ISS Pay-for-Performance Shareholders

California Reduces Rate of Section 409A State Excise Tax

In a positive development for employees, California recently reduced its excise tax rate for failures to comply with the California analog to Section 409A of the Internal Revenue Code of 1986, as amended (“Section 409A”)....more

10/25/2013 - Excise Tax IRC Section 409A State Taxes

Governance & Securities Law Focus - October 2013

In this issue: - ASIAN DEVELOPMENTS - HKEx publishes Amended Listing Rules to Complement the New IPO Sponsor Regime - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law...more

10/22/2013 - Corporate Governance DOJ EMIR Enforcement Actions Equivalency Determinations ESMA EU European Commission IPO IPO Sponsors PCAOB Reporting Requirements SEC Short Sales Swap Clearing

Governance & Securities Law Focus: Europe Edition, October 2013

In this issue: - EU Developments - Opinion on ESMA’s Powers under the Short Selling Regulation - ESMA Publishes Third Country Advice on Equivalence - ESMA Consults on the Clearing...more

10/16/2013 - Corporate Governance EMIR ESMA EU Extraterritoriality Rules Fraud Short Sales

SEC Proposes Long-Awaited Pay Ratio Rules

On September 18, 2013, in a 3-2 vote of commissioners cast along party lines, the Securities and Exchange Commission (the “SEC”) proposed rules to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer...more

9/25/2013 - Annual Filings Annual Reports CEOs Disclosure Requirements Dodd-Frank Executive Compensation Form 10-K Pay Ratio SEC Transparency

Private Equity Funds May Be on the Hook for the Pension Liabilities of Portfolio Companies

A recent decision of the Court of Appeals for the First Circuit makes it more likely that private equity funds could be liable for the pension obligations of the portfolio companies in which they invest. Key to the decision...more

8/15/2013 - Employee Benefits Employer Liability Issues ERISA Investment Portfolios Pensions Private Equity Retirement Plan

Governance & Securities Law Focus: Asia Edition, July 2013

In this issue: ASIAN DEVELOPMENTS - - HKEx Launches Consultation on Reform of Connected Transaction Rules US DEVELOPMENTS - - SEC Developments - Noteworthy US Securities Law...more

7/16/2013 - China DOJ EMIR Employee Benefits Employer Mandates Enforcement Actions ESMA EU European Commission Financial Conduct Authority Risk Management SEC Securities Litigation

The End of DOMA: Federal Tax and Benefits Implications

The US Supreme Court’s recent ruling in United States v. Windsor (“Windsor”) struck down key portions of the federal Defense of Marriage Act (“DOMA”) as unconstitutional. This decision will allow many same-sex spouses to...more

7/11/2013 - Civil Unions DOMA Domestic Partnership Employee Benefits ERISA Estate Tax Healthcare IRS Marriage Retirement Plan Same-Sex Marriage US v Windsor

Once Is Not Enough: Ongoing Fee Disclosure Obligations Under ERISA

Firms that manage ERISA plan assets are subject to the US Department of Labor regulations on fee disclosures. In addition to the initial fee disclosure, these regulations require disclosure of changes to fee information...more

6/6/2013 - Disclosure Requirements DOL ERISA Fee Disclosure Retirement Plan

Governance & Securities Law Focus: Europe Edition - April 2013

In This Issue: - EU DEVELOPMENTS ..European Securities and Markets Authority (“ESMA”) Publishes an Update of the Committee of European Securities Regulators (“CESR”) Recommendations Regarding Mineral...more

4/9/2013 - Anti-Money Laundering Corporate Governance Corporate Social Responsibility ESMA EU European Commission Prospectus Proxy Advisors

The EU Reaches a Deal on the Proposed Ratio Cap on Bank Bonuses

On 27 February 2013 the European Union (“EU”) reached a provisional deal on imposing a cap on the variable remuneration that can be paid by financial institutions in the EU. If, as expected, this provisional deal is formally...more

3/1/2013 - Basel III Bonuses Corporate Bonuses EU

19 Results
|
View per page
Page: of 1