Corporate Management

News & Analysis as of

UK Prudential Regulator Reminds CRR Firms about Management Body Diversity 

The UK Prudential Regulation Authority published an open letter to all firms subject to the Capital Requirements Regulation reminding firms of the requirement in the PRA Rulebook to have in place a policy promoting diversity...more

District Court Further Limits Application of Professional Services Exclusion

One of the most heavily-litigated exclusions in modern insurance coverage practice was the subject of a recent district court decision involving allegedly misleading marketing by for-profit colleges. Exclusions for claims or...more

Quirky Question #287: “Cat’s Paw” Claims – How could an employer violate antidiscrimination laws, even though the decision-making...

Question: We just went through a five-person layoff, and one of the individuals laid off (an African American) has hired a lawyer and is threatening to sue for racial discrimination. I have enormous confidence in the fairness...more

NLRB Requires Specificity in Management-Rights Clauses

When drafting a collective bargaining agreement, employers often insist on a management-rights clause. That clause reserves to the employer the right to take unilateral action, with respect to certain terms and conditions of...more

A word of advice, on advice

Are you getting the best advice when it comes to health and safety compliance? When we deliver legal briefings, both in Australia and internationally, top-of-mind for Boards and Senior Executives is the health, safety...more

Successfully Selling Your Business: Top 6 Potential Pitfalls

Among the growing number of business owners looking to sell their business, JR and Sue Ellen Pawlenty are in the market to sell their darling Pawlenty Energy. This month, Tilting the Scales highlights a variety of issues is...more

Reserved Alternative Investment Funds A revolutionary solution for alternative investment funds in Luxembourg

The Luxembourg alternative investment fund environment has been significantly improved on the 14 of July 2016 with the adoption of the law on Reserved Alternative Investment Funds (RAIF)....more

Major reform of the Luxembourg Company Law: What’s new?

Bill 5730 amending the Luxembourg Company Law (the Bill of Law n°5730 amending the law of 10 August 1915 on commercial companies, the Civil Code and the law of 19 December 2002 on the register of commerce and companies and...more

Innovation in Compliance Week – Part V: The Innovation Process

I have been exploring innovation in the compliance function this week. For my final piece I want to consider the innovation process itself. In an article in the MIT Sloan Management Review, entitled “Finding a Lower-Risk Path...more

The King’s Guitarist and Leadership

We recently lost some legendary musicians. Last week two of the biggest from very different genres left us. They were Scotty Moore and Dr. Ralph Stanley. Today I want to pay tribute to Scotty Moore, recognized by Rolling...more

Good-Bye to Mr. Hockey and Curiosity in a CCO

Gordon ‘Gordie’ Howe died last week. To most of North America he was simply known as “Mr. Hockey”. In his first hockey career, he played in a by-gone era of what we now call the ‘Original 6’ where two Canadian teams and four...more

GHBER Tribute to Jay Martin

This Thursday 19th May, the Greater Houston Business and Ethics Roundtable (GHBER) will hold its first Ethics and Compliance Awards Dinner in honor of the 20-year anniversary of the organization’s founding. We will award the...more

Mother Maybelle and Effecting Change in an Organization

Today we celebrate great American music and honor one of its founders, Mother Maybelle Carter who was born on this day in 1909. Now known more as the mother of June Carter Cash, the wife of Johnny Cash, Mother Maybelle was a...more

Who Can Fire a CCO?

There is something a little surreal when a CCO, while negotiating to join a company, raises the issue of his or her own termination. Not to be maudlin, but it is an important issue to consider....more

Sing Your Own Song

If you’re on the lookout for an easy laugh and a good time on television these days, you can certainly do much worse than Lip Sync Battle on Spike. If you haven’t seen it yet or run across the clips on YouTube, you really...more

Dreamboat Annie and Fostering a Culture of Compliance

Today I want to celebrate one of most impressive jumps from indie band status from the 1970s as we honor the 40th anniversary of the Heart album Dreamboat Annie, which was released in February, 1976. Heart is still comprised...more

Good-Bye to Captain Hocken and Scaling Up Your Compliance Program

George Kennedy died this week. He was one of the few actors who went from playing tough guys to being a hit in comedies. According to his obituary in the New York Times (NYT), Kennedy played “vicious killers, bumbling lawmen,...more

Tribute to Sam Spence and Management?Leadership

Sam Spence died last week. His was not a name that many folks were aware of generally and even in the sports world where he made his greatest mark. Yet he was a prime mover in the explosion of growth by the National Football...more

Embedding the Compliance Message in Middle Management

Chief compliance officers and senior executives wrestle with strategies to spread and embed important compliance messages. A CEO and senior executives can spread a compliance message but they are always battling competing...more

HR Compliance: Shooting the Messenger

Sometimes being in human resources is no fun at all. It’s hard to be the one who has to facilitate a reduction in force. It’s uncomfortable to be responsible for telling an employee that he needs to shower more often. It’s...more

SEC Provides Guidance on Exclusion of Shareholder Proposals

On October 22, 2015, the staff of the Division of Corporation Finance (the “Division”) of the U.S. Securities and Exchange Commission (SEC) released the highly anticipated Staff Legal Bulletin No. 14H (SLB 14H) concerning...more

The Yates Memo: A New DOJ Investigative Approach - Update

Since at least the market crisis there has been a clamor to convict senior corporate officials of federal felonies – or at least name them in a civil law enforcement action by the SEC or another agency. For years the...more

"Insights Conversations: Update on Shareholder Activism in the US Banking Industry"

Two years ago, the U.S. banking industry was a rare exception to the trend of increased shareholder activism that was prevalent across industries. At the time, Skadden partners Brian Christiansen, David Ingles, Sven Mickisch...more

Creating Trust to Effect Compliance Change

One of the ongoing battles for any Chief Compliance Officer (CCO) or compliance practitioner is that the business folks usually view compliance as the Land of No; most often populated by Dr. No him or herself. You will have...more

The Compliance Dangers of Cheerleaders and Nay-Sayers

Compliance always boils down to people and interpersonal relationships. No man is an island, and no one can go it alone in compliance. One essential requirement for effective compliance is the ability to engage colleagues and...more

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