Governance Standards

News & Analysis as of

FCA speaks on culture and governance

FCA Director of Enforcement and Market Oversight, Mark Steward, spoke on firm culture and governance. He highlighted the importance of reacting appropriately and efficiently to misconduct, and said that, in order to establish...more

Pension Plan Investments: ERISA Fiduciaries May Consider Environmental, Social, and Governance Factors Related to Economic Value

Over the past two decades, the U.S. Department of Labor (DOL) has issued a number of advisory opinions and interpretive bulletins on “economically targeted investments” (ETIs). These investments are generally defined as...more

Treasury introduces BoE Bill

Treasury has published the responses to the Government’s technical consultation on proposed changes to the governance of BoE (see FReD 24 July). It also introduced the Bank of England and Financial Services Bill (the BoE...more

Joint Venture Governance And Business Opportunity Issues

The joint venture is a vehicle for the development of a business opportunity by two or more entities acting together, and will exist if the parties have: (1) a community of interest in the venture, (2) an agreement to share...more

MSSP Final Rule ACO Eligibility Requirements, Application and Renewal Process

This is the second post in Health Care Law Today’s series on the final rule. This post addresses Eligibility Requirements, and the Application and the Renewal Process. ACO Eligibility Requirements - Under the...more

Should The SEC Adopt Governance Principles (For Itself)?

When I served as Commissioner of Corporations for the State of California, I was sometimes asked about the other Commissioners.  However, I never concerned myself with the “other Commissioners” because there were no other...more

U.S. Senate Banking Committee Schedules Hearing on Federal Reserve Reform

On March 3, the Senate Banking Committee will hold a hearing entitled, “Federal Reserve Accountability and Reform.” The hearing comes after Dallas Fed President Richard Fisher’s February 13 remarks on the growing concern...more

Dallas Fed President Proposes Changes in Fed Governance

On February 11, Richard W. Fisher, outgoing President of the Federal Reserve Bank of Dallas, delivered remarks before the Economic Club of New York in New York City. In his remarks, he outlined four proposals to address...more

Hackers Gonna Hack—FINRA’s Report on Cybersecurity Practices Assists Firms in Responding to Threats

On February 3, 2015 the Financial Industry Regulatory Authority (FINRA) released its long-awaited Report on Cybersecurity Practices, a broad overview of the state of play in the cybersecurity arena for broker-dealers....more

Fundamentals of Hospital/Medical Staff Issues: Minimizing Risk and Maximizing Collaboration

In this presentation: - Health System Structure and Governance - Medical Staff Structure and Governance - Committee Structure - Medical Staff Categories - Medical Staff Governance...more

OCC Finalizes Heightened Standards for Large Financial Institutions

On September 2, the OCC published its final guidelines to purportedly strengthen the governance and risk management practices of large financial institutions. The guidelines provide that covered institutions should establish...more

Takeaways From ICANN 49 in Singapore

As you may know, the most recent public Internet Corporation for Assigned Names and Numbers (ICANN) meeting concluded at the end of March in Singapore. Our new gTLD (generic top-level domain) team has closely examined...more

European Union Moves Closer to Mandatory Social and Environmental Reporting

The European Union took another step toward requiring large companies to publish social and environmental performance reports when the European Parliament approved amendments to a draft directive by a 599-55 majority last...more

Cybersecurity Issues in the Financial Services Industry: Fasten your cyber belts, it's going to be a bumpy night

Few topics are as hot as cybersecurity. Recent high-profile data breaches at national retailers have made cybersecurity a frequent topic on Capitol Hill and an issue of growing concern to average Americans. Not surprisingly,...more

IOSCO Consultation Report on Financial Benchmarks

Background - As we have previously reported, a Task Force of the International Organization of Securities Commissions (“IOSCO”) published a consultation on financial benchmarks on 11 January 2013 in response, in part,...more

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