News & Analysis as of

Corporate Governance

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Each SEC Commissioner joined a statement saying “Thank you Jacob” and fair well to perhaps the longest tenured staff member at the agency, Jacob Stillman. Jake joined the staff in 1962 and served in various capacities for 55...more

Kerr to Warriors – Stand in My Shoes

by Thomas Fox on

Interactivity should make a conversation open and more fluid. You can obtain this by talking with and not just talking to an employee. The purpose of interactivity builds upon the first prong of intimacy. ...more

The Federal Reserve Imposes Limits on a National Bank’s Growth

by Weiner Brodsky Kider PC on

On February 2, 2018, the Federal Reserve (the “Fed”) announced a consent order with one of the country’s largest banks, that orders the bank to halt growth until it improves its corporate governance and risk management....more

BlackRock Talks…And U.S. Companies Must Listen

In BlackRock CEO and Co-founder Larry Fink’s annual letter to companies on January 16, he issued a call to action for companies to have “a clear sense of purpose.” To BlackRock, having “a clear sense of purpose” means much...more

Leadership Lessons from The King’s Speech

by Thomas Fox on

I want to consider the leadership lesson for a Chief Compliance Officer (CCO) through an exploration of its two protagonists, King George VI and his speech therapist, Lionel Logue....more

D.C. Circuit Upholds CFPB’s Constitutionality: Why the PHH Case Underscores the Importance of Internal Agency Discipline

by Dorsey & Whitney LLP on

On January 31, the U.S. Court of Appeals for the D.C. Circuit issued a plurality opinion en banc that confirmed the constitutionality of the Consumer Financial Protection Bureau’s (“CFPB”) governance by a sole Director, while...more

Changes to the AIM Rules disclosure requirements

by Dentons on

Minor changes to the ongoing disclosure requirements in AIM Rule 26 have come into force, following AIM's designation as an SME Growth Market at the start of 2018. More significant changes relating to corporate governance...more

The Long Road Back to Redemption: Wells Fargo’s Path to Remediation (Part II of II)

by Michael Volkov on

Wells Fargo’s ability to grow its business is on hold for a year while it designs and implements a remediation program to address deficiencies in its board governance, risk management and compliance program. ...more

Using AI in Compliance: Going Forward – Part IV

by Thomas Fox on

Over the past few blog posts, I have been considering the use of artificial intelligence (AI) to make compliance more robust in the three prongs of prevent, detect and remediate. ...more

Blog: Blackrock Issues Proxy Voting Guidelines For 2018 Proxy Season

by Cooley LLP on

As discussed in this PubCo post, BlackRock has recently issued its 2018 Proxy Voting Guidelines for U.S. Securities. Because BlackRock is reportedly the largest asset management firm (with $6.3 trillion under management),...more

Tax Cut Could Spur Further Shareholder Activism

by Morrison & Foerster LLP on

The Tax Cuts and Jobs Act (the “Act”) was intended principally to simplify the tax code, reduce individual and corporate tax rates, and allow for the repatriation of cash held overseas at a discounted tax rate. But, as with...more

New York Lawsuit Alleging Corporate Cover-Up At The Weinstein Company Is A Lesson In What Not To Do

by Jackson Lewis P.C. on

New York Attorney General Eric Schneiderman has filed a civil rights lawsuit against Harvey Weinstein, his brother Robert Weinstein, and their company, The Weinstein Company (TWC). The lawsuit, which details allegations of...more

Using AI in a Compliance Function – Part III, Implementation

by Thomas Fox on

I am exploring the use of artificial intelligence (AI) to make compliance more robust in the three prongs of prevent, detect and remediate. This series is based upon an article in the Harvard Business Review (HBR), entitled...more

Often, The Best Compliance Presentations Are After The Compliance Presentation

Over the past three weeks, I have had the pleasure of presenting to and engaging with, compliance and commercial leaders in some wonderful venues including Prague, Malta, and Dubai, as well as Miami, Houston, and Dallas, back...more

Federal Reserve Hits Wells Fargo with Unprecedented Enforcement Action (Part I of II)

by Michael Volkov on

In an extraordinary action, with significant ramifications for the financial industry, the Federal Reserve recently announced a series of enforcement actions against Wells Fargo....more

Whether We Like It or Not, There Is a Different Culture at the Top

by NAVEX Global on

Years ago, before Enron and the avalanche of business ethics scandals that followed, there was a theory that predicted who was most likely to violate company ethics and compliance policies. According to the theory, mid-level...more

More Than Meets the Eye: Director Due Diligence in Today’s Corporate Activist World

On Federal Reserve Chair Janet Yellen’s last day of work, the Fed imposed severe penalties on Wells Fargo, both punishing it for years of bad acts and barring it from future growth until it actually fixes its problems,...more

In an Aim to Boost Corporate Transparency, EU Mandates Disclosure of Non-Financial Information from Corporations

by Kelley Drye & Warren LLP on

Large public companies with a presence in the European Union may be required to comply with an obligation to report additional non-financial information in addition to standard financial reporting. As the obligation applies...more

Foreign Corrupt Practices Act Enforcement: 2017 Year-in-Review

by Bryan Cave on

Enforcement of the Foreign Corrupt Practices Act (FCPA) again remained a high priority for the Department of Justice and the Securities and Exchange Commission in 2017, resulting in 11 companies paying over $1.92 billion to...more

Local Compliance Strategies to Embrace the Business (Part II of II)

by Michael Volkov on

The ultimate success of a global ethics and compliance program often depends on the ability of local compliance officers to engage business operations in a specific country. ...more

Using AI in a Compliance Function – Part I

by Thomas Fox on

I have long been an advocate of technology in compliance to facilitate more effective, cost efficient operationalization of a corporate compliance function or as I call it ComTech. ...more

Governance & Securities Law Focus: Asia Edition - February 2018

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

Millennials and why your organization should care about ESG

With sustainable and ethical business practices now key to attracting and retaining top talent, how can organizations ensure their Environmental, Social and Governance (ESG) rating meets the expectations of millennials?...more

Leadership Lessons from Chariots of Fire

by Thomas Fox on

Over on my leadership podcast, 12 O’Clock High, a podcast on business leadership, Richard Lummis and I are back with more leadership lessons from Oscar-winning Best Picture movies. For our first offering this year, we...more

Updates on Continuous Disclosure and Corporate Governance in Securities Law

by Bennett Jones LLP on

Three years following implementation of mandatory disclosure of women on boards and in executive officer positions, the new rules have marginally improved female representation. The percentage of women holding board seats...more

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