News & Analysis as of

CFOs

Emerging Private Fund Manager Guide for Raising Institutional Investor Capital

by Foley & Lardner LLP on

Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more

Preparing for Tax Reform: The Current State of Play on Proposed Changes to Executive Compensation and Employee Benefits

On November 16, 2017, the House of Representatives voted to approve its version of the Tax Cuts and Jobs Act. The Senate is expected to vote on its version of the bill following the Thanksgiving break, which would require a...more

Tax Reform: The Shifting Landscape of Executive and Equity Compensation

The House and Senate propose wide-sweeping amendments to the tax rules regarding executive and equity compensation that would affect public and private for-profit companies as well as tax-exempt organizations. The House...more

Tax Cuts and Jobs Act

On November 2, 2017, the Committee on Ways and Means of the U.S. House of Representatives released its tax reform bill titled the Tax Cuts and Jobs Act (the “House Bill”). On November 6, 2017, Kevin Brady, Chairman of the...more

CCOs and CFOs: Bringing Everyone Together

by Michael Volkov on

Chief compliance officers are politicians and have to possess great interpersonal skills. They have to “get along” and persuade key constituencies — most especially their business partners – to commit and devote time and...more

Vendor Contracts: Be Careful Before You Sign On The Dotted Line

by Fisher Phillips on

It’s the first week back to school and you receive the following three phone calls in quick succession - • A parent advises you that she does not want to buy expensive apparel from a certain sportswear company for her...more

Brace for 2018: The SEC’s Pay Ratio Rule

The SEC’s Pay Ratio Disclosure Rule is unlikely to be repealed — public companies should plan to comply. Takeaways - •The Financial CHOICE Act, which aims to repeal the CEO pay ratio disclosure rule, is unlikely to...more

Credentials and awards could just be a paid smokescreen

by Ary Rosenbaum on

A Long Island business newspaper once named my old law firm’s administrator as its Chief Financial Office of the year and the first thing I asked at the time was: “How big was the ad?”...more

SEC, Issuer, CFO Settle Financial Fraud Claims

by Dorsey & Whitney LLP on

A Luxembourg based seller of semiconductor products with the bulk of its operations in South Korea and a finance executive settled financial fraud charges with the Commission. Previously, the issuer restated its financial...more

Starting an In-House Revenue Recovery Program – First Steps

by Kelley Drye & Warren LLP on

In the old adage of journalism, the important questions to answer with any story are “who, what, when, where, how and why.” My last two posts explaining revenue recovery programs explained the “why” — why they can be...more

Bridging the Gap: Uniting Compliance and Financial Controls (Part II of IV)

by Michael Volkov on

A Chief Compliance Officer has a number of important relationships to attend to in the corporate governance landscape. A critical relationship needed to “operationalize” a compliance program is a partnership between a CCO and...more

Gender Diversity Survey - 2016 Proxy Season Results

by Fenwick & West LLP on

The Fenwick & West Gender Diversity Survey provides unique insight into women’s participation at the most senior levels of public technology and life sciences companies in the Silicon Valley 150 Index (SV 150) and the large...more

CFOs Identify Cyber-Attacks as One of their Top Operational Risks

FM Global and CFO Research Services have partnered together and recently issued a study titled “Finance’s Role in Operational Risk Management: CFO Research on Building a Resilient Company.” ...more

[Webinar] Business E-mail Compromise Scams - Practical Perspectives - January 12th, 10:30am EST

by Locke Lord LLP on

An increasing number of businesses are targeted by very sophisticated email scams designed to convince company employees responsible for executing financial transactions to wire funds to overseas accounts controlled by...more

ISS Updates Proxy Voting Guidelines and New Survey on Mid-Market Compensation

Institutional Shareholder Services (“ISS”) has issued updated proxy voting guidelines, including an update to guidelines related to director compensation and the equity plan scorecard. The updated guidelines are...more

Court Nullifies CFO’s Employment Because of Prior Extortion Conviction

by Zuckerman Spaeder LLP on

In lawsuits over contracts, parties sometimes assert defenses that contracts are voidable or void. A voidable contract is one as to which the party should have a choice as to whether it is enforceable or not; for example,...more

FCPA Enforcement Action Highlights Risks for the Financial Services Industry and Individual Executives

by Dechert LLP on

New York-based hedge fund Och-Ziff Capital Management Group (the “Hedge Fund”) agreed to pay approximately $412 million to resolve charges brought by the U.S. Securities and Exchange Commission (“SEC”) and Department of...more

Like a Rolling Stone and the Failures of Internal Controls

by Thomas Fox on

I continue my celebration of Bob Dylan, Nobel Laureate, by reflecting on what many consider to be his greatest recording, Like a Rolling Stone. In 2004, Rolling Stone magazine named it as the greatest song of all time....more

[Event] Long-Term Care Conference - October 18th, Richmond, VA

by Williams Mullen on

Williams Mullen's Long-Term Care Conference will provide health care executives with the latest information on how to mitigate professional liability and regulatory risks; manage employment law matters, including overtime,...more

Ninth Circuit Holds SOX Gives SEC Power to Cause Executives to Disgorge Incentive Compensation Based on Others' Misconduct

Rule 13a-14 issued under the Sarbanes-Oxley Act (SOX) requires that Chief Executive Officers and Chief Financial Officers certify the accuracy of the public company’s financial statements. Section 304 of SOX states that CEOs...more

Corporate & Business Transactions Tips

Here are 5 tips for positioning the strongest possible partnership when starting your new company: - 1. FREQUENT AND DETAILED COMMUNICATIONS ARE ESSENTIAL. The most effective CEOs and CFOs are sophisticated...more

Ninth Circuit Holds that SOX 304 Clawback Applies to Executives that are Not at Fault

The Ninth Circuit recently held that Section 304 of the Sarbanes-Oxley Act (SOX 304) allows for a clawback of certain CEO and CFO compensation regardless of whether the clawback was triggered by the personal misconduct of...more

Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification and Confirms Disgorgement Remedy...

In Securities & Exchange Commission v. Jensen, No. 14-55221, 2016 WL 4537377 (9th Cir. Aug. 31, 2016), the United States Court of Appeals for the Ninth Circuit broke new ground by providing the Securities & Exchange...more

Ninth Circuit Clarifies Whose “Misconduct” Triggers SOX 304 Disgorgement But Not What Constitutes “Misconduct”

Section 304 of the Sarbanes-Oxley Act of 2002 (15 U.S.C. § 7243) requires CEOs and CFOs to repay bonuses, incentive- and equity-based compensation, and profits realized on the sale of securities received in the 12 months...more

[Webinar] 28th Annual Employee Benefits Seminar - September 21st, 8:20am Central / 9:20am Eastern

by Locke Lord LLP on

Program Highlights Please join the Locke Lord Employee Benefits and Executive Compensation Group for our 28th annual employee benefits seminar via webinar.  Our attorneys will provide an overview of current developments...more

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Cybersecurity

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