C-Suite Executives

News & Analysis as of

Bitter C-Suite: Privacy, Security and Data Protection Issues Facing Corporations, Directors and Officers [Video]

With data breaches, cyberterrorism and governmental enforcement of the protection of privacy on the rise, corporations are facing an increased likelihood of claims, legal proceedings and costs. Without a proper understanding...more

What to Do When Your Client’s COO Becomes Your Competitor’s BFF

One of your most important clients just called. She reports that one of her senior sales people quit a few months ago, and she just learned that the sales person has joined a large competitor. Panicking, your client wants to...more

Board Of Directors Reform: Adopting A New Model For Board Members

It is easy to tie FCPA violations to corporate governance performance. Sometimes the tie is strong – sometimes a little more attenuated. The BIzJet case from last year underscored the importance of proper board...more

SEC Expands Ability of Employees to Invest into In-House Private Funds

The SEC's Division of Investment Management has issued a No-Action Letter that expands the pool of possible employee investors in in-house private funds. While the SEC's new in-house investment flexibility may help those who...more

The Federalist Papers And A Federated Approach To GRC

Today we celebrate one of America’s greatest political commentaries, The Federalist Papers. They were penned by James Madison, Alexander Hamilton and John Jay. They presented their three views on why the Federal Constitution...more

SEC proposed rules on CEO pay ratios: What employer benefits professionals need to know

On Sept. 18, 2013, the Securities Exchange Commission (“SEC”) issued long-awaited (and controversial) proposed rules regarding the disclosure of what is commonly referred to as the “CEO pay ratio.” This disclosure, which is...more

Practical Tips For Avoiding Securities Litigation, Understanding D&O Insurance, And Selecting Defense Counsel

In my last post of 2013, I thought I’d share some thoughts about how public companies can better protect themselves against securities claims – practical steps companies can take to help them avoid suits, mitigate the risk if...more

Expanding Your Compliance Decision-Making Tool Kit

There can be a variety of reasons why bad decisions get made in the corporate world. Last week I wrote about psychopaths in the C-Suite and Boardroom. Today I want to look at some less flamboyant, more mundane ways that a...more

A Lovely Review of Employment Contract Principles

In Lovely v. Prestige Travel Ltd., 2013 ABQB 467, the Alberta Court of Queen’s Bench ordered an employer to pay an executive level employee one year’s base salary, after it terminated his employment one year into a two-year,...more

Sammy Baugh In 1943: Do It The Right Way

2013 is the 70th anniversary of one of the greatest individual seasons in pro football. In 1943, Sammy Baugh, playing for the Washington professional football team, had what Sports Illustrated said one of the greatest...more

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

HHS-OIG Corporate Integrity Agreements Are Now Aiming at Corporate Directors and Executives

Corporate integrity agreements (CIAs) are a familiar feature of many civil False Claim Act and joint civil/criminal resolutions in healthcare fraud cases. These agreements are entered into between the defendant company and...more

Prosecution Of Frauds And Crimes In The C-Suite: What Can We Learn From These Cases And Trends?

The press, members of Congress, and judges have become increasingly vocal in condemning what they perceive to be inadequate criminal prosecution of executives responsible for corporate crimes. In response, U.S. Department of...more

Bringing The Board And The C-Suite Into The Fold: Promoting A Culture Of Compliance

Compliance cynics have sometimes commented that when a company gets into trouble because of a misconduct by the Board of Directors or C-Suite officials that the company’s response is to increase training of mid and lower...more

Twenty Compliance Questions For The Chief Executive Officer

Tone-at-the-top says it all. Without the support of the CEO, a Chief Compliance Officer is limited in what he or she can accomplish. If there is no commitment from the CEO, a CCO can propose and possibly build great...more

White Collar Watch - September 2013

Contents - FDIC filing more suits against officers and directors of failed financial institutions - Third Circuit upholds 12-year prison sentence for former BigLaw associate - Health care executives...more

What Every Executive Should Know About Building a Patent Portfolio

Despite what you may have heard, patents continue to foster competition and innovation and are essential to success in technology driven markets. To operate successfully in these markets, in-house counsel, program managers,...more

The Affordable Care Act & the Impact on the C-Suite – Interview with Alden Bianchi, Member, Mintz Levin [Video]

Attorney Alden Bianchi, Practice Group Leader of Mintz Levin's Employee Benefits & Executive Compensation Practice, discusses why the Affordable Care Act makes health care benefits something that should be top-of-mind to...more

Canadian Securities Administrators Seek Input on Disclosure Regarding the Representation of Women in Public Companies and the...

This summer, Canadian securities administrators issued two consultation papers with comments due this fall. The first initiative is an Ontario Securities Commission (OSC) staff consultation paper on proposed new public...more

The Transformation of Policy & Procedure Management

Maintaining a database of accurate and accessible policies and procedures can seem like a daunting task. They are the foundation of every business; unfortunately, these foundational documents are often ignored, forgotten or...more

Class Action Decision Considers Secondary Market Misrepresentation Actions

On July 25, 2013, Justice Belobaba of the Ontario Superior Court of Justice released his decision (2013 ONSC 4083) certifying a proposed class action brought by the Ironworkers Ontario Pension Fund against Manulife Financial...more

The Rise Of Compliance Professionals

The hottest commodity on the job market is the compliance officer....more

Making Your Training Program Effective

Returning to the theme of profound grasps of the obvious, compliance officers face numerous challenges where they need creativity and persistence. ...more

Stretching Compliance Resources

Chief Compliance Officers are creative people. What appears insurmountable to us mere mortals and attorneys, is just another daily challenge for a CCO....more

Setting the Exercise Price of Stock Options

While there are many differences between large and small employers when it comes to executive compensation, one common issue confronted by employers of varying sizes is how to set the exercise price of stock options....more

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