Corporate Governance

News & Analysis as of

Win-Wins: Looking for Business and Compliance Success

A Chief Compliance Officer who lacks working relationships with the business side of a company is like a day without sunshine. No matter how strong or finely tuned a compliance program is on paper – in practice, the success...more

Assistant Attorney General Caldwell Provides Insight on Corporate Compliance and the Fraud Section’s New Compliance Expert

On November 2, at a speech at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society New York Regional Seminar, Assistant Attorney General Leslie Caldwell discussed compliance issues...more

Investing in Russia Guide

Dentons Moscow office has recently issued Investing in Russia Guide for companies and financial institutions considering investments in Russia. The report on the legal framework for investments covers corporate, real estate,...more

Pitfalls of Delaware Corporate Law

In order to create the invaluable certainty that Delaware corporate law provides to boards of directors and stockholders with respect to corporate governance and capital structure, the General Corporation Law of the State of...more

DOJ Hires Compliance Expert: Now Is The Time To Assess Your Compliance Program – Does It Have Teeth Or Is It Merely A Paper Tiger?

On November 2, 2015, Leslie R. Caldwell, Assistant Attorney General for the Criminal Division at the U.S. Department of Justice ("DOJ"), announced the hiring of a new corporate compliance counsel, Hui Chen, who will act as an...more

ICI Survey: Mutual Fund Independent Directors Are Getting Older and Wiser

Mutual fund directors are getting older and wiser as they oversee a growing amount of assets and number of funds, according to a governance study published by the Investment Company Institute on October 27, 2015....more

Compliance 2.0 and Trends: Culture and Technology

Compliance has to continuously improve – as companies innovate, so do critical foundation functions like compliance. The forces of change on corporate governance and compliance were unleashed years ago. There is no way...more

FFIEC Issues New IT Management Booklet

The Federal Financial Institutions Examination Council (FFIEC) members on November 10 issued a revised Management booklet, which is part of the FFIEC Information Technology Examination Handbook (IT Handbook). The Management...more

The PCAOB’s Enhanced Auditor Performance Standards–Be Sure You’re Ready

A little over a year ago the PCAOB issued new Auditing Standard No. 18, which enhanced auditor performance standards in three significant areas of a company’s audit: - Company relationships and transactions with related...more

FCPA Enforcement — Corporate Crime and Punishment

The Justice Department’s reexamination of corporate incentives to disclose violations appears to be in reaction to the steady escalation of cooperation requirements. In response to these extra burdens, DOJ could be concerned...more


Orienting your Professional Governance Board to Success - Practice makes perfect. Or so we were told throughout our childhood by parents, teachers and coaches. The lesson imparted was a simple, but valuable one. That...more

Compliance Counsel Metrics – Part II: Policies, Procedures and Their Communication

Today, we continue our exploration of the new Department of Justice (DOJ) Compliance Counsel and the metrics laid out by Assistant Attorney General Leslie R Caldwell who called for her review of compliance programs. Today we...more

New Saudi Arabian Companies Law

On Monday 9 November 2015, the Ministry of Commerce and Industrial (MOCI), announced that the new Saudi Companies Law (NCL) shall come into force 150 days from its publication in the Saudi Official Gazette. This will...more

EIOPA Consultation Paper

On October 30, 2015 the European Insurance and Occupational Pensions Authority (EIOPA) published a consultation paper on the proposal for preparatory guidelines on product oversight and governance arrangements by insurance...more

CalPERS To Consider Support For Corporate Political Spending Disclosure Mandate

Next week, the California Public Employees Retirement System will consider a staff recommendation “to update the legislative and policy guidelines to include support for Securities and Exchange Commission (SEC) rulemaking on...more

World Exchanges Encouraged to Report Indicators of Long-Term Sustainability

On November 4th, the World Federation of Exchanges (WFE) released a set of 34 sustainability measures that include environmental, social and governance indicators. WFE recommends that its member exchanges implement these...more

Turning the CEO Around: How to Make Sure the CEO Embraces Ethics and Compliance

Your CEO is either on board for compliance, or he/she is not. There is no half-way mark here, no way to deceive or soft-shoe your way through the compliance requirement....more

Modern Slavery

The concept of slavery may seem archaic in modern Scotland, yet a Home Office report last month said 111 human trafficking victim referrals were made in Scotland in 2014. A significant proportion related to labour...more

A Philosopher’s Guide to Compliance

One of my favorite weekly reads is the Texas Lawyer Candid Mentor column by Michael P. Maslanka. He recently did an article, entitled “Applying Ancient Wisdom to Modern Problems”, where he channeled some very ancient wisdom...more

Securities and Corporate Governance Litigation Quarterly

Welcome to the fifth issue of Securities and Corporate Governance Litigation Quarterly, Seyfarth’s quarterly publication of the Securities & Financial Litigation Group focusing on decisions or other items of interest for...more

Compliance Counsel Metrics-Part I, Board and Senior Management Roles

We begin our exploration of the new Department of Justice (DOJ) Compliance Counsel and the metrics laid out by Assistant Attorney General Leslie called for her review of compliance programs. Today we review the first criteria...more

SEC Issues New Guidance on Voting with Regard to Merger and Acquisition Transactions

On October 27, 2015, the Division of Corporation Finance of the SEC modified Section 201 of its Question and Answer guidance regarding SEC Rule 14a-4(a)(3) to require that if a material amendment to an acquiror’s...more

Does Training + Code of Ethics = Culture of Ethics?

Complacency in compliance is a cancer on a company’s culture. Woody Allen said it best in Annie Hall: A [compliance program] relationship, I think, is like a shark. You know? It has to constantly move forward or it dies. And...more

Caldwell Lays It Out – DOJ Metrics for a Compliance Program

Last week Assistant Attorney General Leslie R. Caldwell spoke at the SIFMA Compliance and Legal Society New York Regional Seminar. In this speech she discussed the new Department of Justice (DOJ) Compliance Counsel. While...more

New “Guidance” from DOJ on Compliance

I am a positive person (anyone who has to say that raises doubts). At least I like to think I am. I am not yet sold on the wisdom of DOJ’s hiring of a compliance counsel....more

948 Results
View per page
Page: of 38

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.