The Justice Insiders Podcast: Mutiny on the Bug Bounty
Government Contractors: Key Questions You Should Be Asking Your Advisors
Fast Track to IPO: Why Are Series A Startups Snatching Topflight CFOs?
Polsinelli Podcast - Emerging Technology & Startup Companies
A fly on the wall at an executive retreat for Acme Super Duper Widget Company overhears the following conversation between Pete, the CFO, and Saira, the General Counsel. Pete: I was speaking with George [the CEO] earlier...more
La Guía de Cumplimiento para Pequeñas Entidades de FinCEN publicada el 18 de septiembre de 2023 define un beneficiario real como cualquier individuo que, directa o indirectamente: ejerce un control sustancial sobre una...more
FinCEN’s Small Entity Compliance Guide published 9/18/23 defines a beneficial owner as any individual who, directly or indirectly: exercises substantial control over a reporting company or owns or controls at least 25 percent...more
Earlier this summer, the Law Commission published its long awaited proposals on reforming corporate criminal liability in England and Wales (the "Options Paper"), following the launch of its discussion paper in June 2021....more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary sources....more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary...more
For advisors to government contractors, the prime objectives are to ensure clients stay in compliance and to contribute to the success of their business. But what are the key questions a contractor should ask their advisors...more
Please join us for our annual healthcare compliance seminar to discuss current developments in healthcare regulation and hospital compliance... Registrants will have the option of selecting the sessions they would like to...more
On December 9, 2019, the U.S. District Court for the Southern District of New York ruled that, as a matter of law, directors cannot be held liable under the anti-retaliation provisions of the Sarbanes-Oxley Act. Zornoza v....more
On June 18, 2019, the Delaware Supreme Court issued an opinion addressing the fiduciary obligation of directors and officers to exercise proper oversight over the corporation and to implement a system of controls to ensure...more
INCREASING FOCUS ON CORPORATE PURPOSE - There is a notable increase in governance discourse on the relationship of corporate purpose to sustainable revenue growth, in the context of changing social and political...more
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
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
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
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
The Hershey Governance Settlement - On Friday, July 29, the Pennsylvania Attorney General, the Hershey Trust Company and the Milton Hershey School, entered into a written settlement resolving an investigation conducted...more
I continue my exploration of actions you can take to improve your compliance program during an economic downturn with a review of what my colleague Jan Farley, the Chief Compliance Officer (CCO) at Dresser-Rand, called the...more
Since the market crisis enforcement officials have heard repeated calls to prosecute not just companies but high ranking corporate officials. While the Commission brought a series of market crisis actions against firms and...more