News & Analysis as of

Corporate Management

Setting Your Compliance Program by the North Star

by Thomas Fox on

Today I celebrate a potpourri of history to lead into some leadership lesson for a Chief Compliance Officer (CCO) or aspiring CCO. According to This Day In History, today marks the second formation of the Committees of...more

10 Questions to Operationalizing Compliance

by Thomas Fox on

A Harvard Business Review (HBR) article, entitled “Does Management Really Work?” by Nicholas Bloom, Raffaella Sadun and John Van Reenen, provided some succinct advice about what a business can do to improve its management...more

Selecting an Advisory Board – Do’s & Don’ts

by Gray Reed & McGraw on

Beginning as a part-time college job walking friends’ dogs, Cary Barker’s full time business now employs over 30 college students to walk neighborhood dogs and to deliver them for daily activities to and from his Barkingham...more

Houston, we’ve had a problem – Compliance Leadership from the Bottom

by Thomas Fox on

While leadership at and from the top has long been considered by both the DOJ and compliance professionals as a key element to move compliance forward, the Evaluation has also crystalized thinking around compliance leadership...more

[Event] Stay Ahead: Nossaman's 2017 Emerging Employment Issues Seminar - Feb 8th, 9th,15th & 16th - Four California Locations

by Nossaman LLP on

Please join us for this complimentary presentation on cutting-edge employment law issues. California and federal employment laws are constantly developing and evolving so it is essential for human resource professionals and...more

European Central Bank Publishes Draft Guidance on Fit and Proper Assessment

by Shearman & Sterling LLP on

The European Central Bank published for consultation draft Guidance on the fit and proper assessment of members of management bodies of significant banks. The ECB is responsible for direct prudential supervision of certain...more

From Making the Right Decisions to Asking the Right Questions: Linda Graebner Discusses Her Move from the C-Suite to the Boardroom...

Linda Graebner spent many years as a CEO leading consumer product companies, and has held numerous other leadership positions in the business world. But she is currently thriving in a new role: the boardroom. At the request...more

On Leadership – A Simple Message and Asking the Right Questions

by Thomas Fox on

Sometimes, as a leader it is important to say something numerous times, to repeat your message so that it will come through loud and clear. For any Chief Executive Officer (CEO) it is incumbent to continually reinforce your...more

Conflict Avoidance and Conflict Resolution Mistakes that Ruin Workplace Culture, Part III: Failing to Address Workplace Conflicts

In part one and part two of this three-part series, we discussed two of the most common traps employers fall into when it comes to avoiding and resolving workplace conflict: failing to anticipate and plan for high-risk...more

Corporate Social Responsibility and Compliance: Commitment at the Top

This is the fifth in a series of posts reflecting excerpts from a chapter that I authored on corporate social responsibility (“CSR”) for the Corporate Legal Compliance Handbook. Integrating CSR into the framework of a...more

Corporate governance: Tools for the job

by White & Case LLP on

Japan's corporate governance reforms hold promise of real change. Local and foreign observers have attributed the low "metabolism" of Japan's economy to the low productivity and comparatively low profitability of many...more

Why is Working in Compliance Meaningful? Part I

by Thomas Fox on

Yesterday I wrote about my passion for the compliance profession and why, in many ways, I feel privileged to work in this field. Based on the comments I received, many others feel the same way about working in compliance;...more

So You Might Sell Your Business Someday. Do You Need a Broker?

by Gray Reed & McGraw on

After a lifetime of pouring time and energy into growing and expanding, Pawlenty Energy, JR and Sue Ellen Pawlenty are ready to sell their business and retire. Having never sold anything of this magnitude, JR and Sue Ellen...more

UK Prudential Regulator Reminds CRR Firms about Management Body Diversity 

by Shearman & Sterling LLP on

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...

by Dorsey & Whitney LLP on

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

by Littler on

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

by Seyfarth Shaw LLP on

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

by Gray Reed & McGraw on

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

by DLA Piper on

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?

by Dentons on

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

by Thomas Fox on

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

by Thomas Fox on

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

by Thomas Fox on

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

by Thomas Fox on

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

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