Individual Accountability

News & Analysis as of

UK Financial Institutions Strengthen Accountability

UK regulators extend the new regulatory framework that governs individual accountability to banking and insurance. The UK Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) published their...more

The Top 3 Things Tom Brady Can Learn From Blue Bell Creameries: “Nothing is More Important To Us Than Maintaining Your Trust”

Take it Seriously. A week ago, when asked about the “elephant in the room,” New England Patriots quarterback Tom Brady replied before 4,000 cheering and laughing Patriots fans “Where? When I digest it fully, I’ll be sure to...more

Compliance Program Effectiveness Requires Accountability

A compliance program requires accountability. You can have ethics and you can have compliance policies, procedures and all the bells and whistles, but someone has to be accountable....more

White House Releases Memorandum On Safeguarding Privacy In Domestic Use Of Unmanned Aircraft Systems

On February 15, the White House issued a Presidential Memorandum setting out rules to safeguard privacy, civil rights and civil liberties in the domestic use of Unmanned Aircraft Systems (“UAS”), sometimes referred to as UAVs...more

Individual Liability: What’s Behind The Headlines?

It’s been open season on financial institutions since the 2008-2009 financial crisis (“Financial Crisis”). State and federal prosecutors and regulators are competing with each other for press coverage of their latest consent...more

Drawing the Line on Accountability

With all the attention on ethics and compliance, it is interesting to take account of the vocabulary — terms like “culture, governance, access, processes, diligence, independence, and empowerment” are all bandied about. One...more

“Sympathy” for the Board

Corporate boards have been under siege. If you ask a Board member about the changes in corporate governance, risk and accountability, they roll their eyes and lament that the job of a board member has become more complicated...more

Surviving in an Age of Individual Accountability: How Much Protection Do Indemnification and D&O Insurance Provide?

We consider below how advancement of legal fees, indemnification, and insurance operate when officers and directors become involved in regulatory investigations and proceedings. Part I addresses the enhanced risk officers and...more

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