John Cannon

A&O Shearman

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SEC Brings Charges Under Enforcement Initiative Directed at Insider Report Compliance Failures

On September 27th, 2023, the SEC brought charges against six officers, directors and major shareholders of public companies for repeated failures to make timely filings pursuant to Section 13 and Section 16 of the Securities...more

10/5/2023 / Board of Directors , C-Suite Executives , Chief Compliance Officers , Compliance , Enforcement Actions , Proxy Statements , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Violations , Shareholders

Senate Proposes to Extend Section 16 Requirements to Foreign Private Issuers

The U.S. Senate recently passed the National Defense Authorization Act for Fiscal Year 2024 (the “NDAA”), which, if enacted, would subject insiders (i.e., directors, executive officers and greater than 10% shareholders) of...more

9/26/2023 / Board of Directors , C-Suite Executives , Department of Defense (DOD) , Foreign Corporations , Foreign Issuers , National Security , NDAA , Securities Exchange Act of 1934 , Shareholders

The EU Bonus Cap and Restrictions on the Use of Role Based Fixed Allowances

On 15 October 2014 the European Banking Authority (“EBA”) issued a report on the use of role-based fixed allowances by various financial institutions within the European Union (“EU”) affected by the EU bonus ratio cap....more

10/20/2014 / Bonuses , C-Suite Executives , EU , European Banking Authority (EBA) , Remuneration

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