News & Analysis as of

Enforcement Corporate Officers

Goodwin

Bank Officer and Director Enforcement Exposures In the Wake of Silicon Valley Bank

Goodwin on

The recent and sudden failures of Silicon Valley Bank and Signature Bank, and the threat of other bank failures, have led to intense public focus on what caused these banks to run into trouble, who is to blame, and what...more

Smith Anderson

Justice Department’s Investigation of “Interlocking Directorates” Leads to Corporate Board Resignations

Smith Anderson on

​​​​​​​Section 8 of the Clayton Antitrust Act of 1914 (Section 8) prohibits directors and officers from serving simultaneously on the boards of competing corporations, subject to limited exceptions. Specifically, Section 8...more

BCLP

Hong Kong court confirmed examination orders can be served on officers of corporate judgment debtors out of jurisdiction

BCLP on

When seeking to enforce a judgment against a company, one part of the enforcement process is to compel the officers of the company to submit to formal questioning about the financial affairs of the company. But what to do if...more

Health Care Compliance Association (HCCA)

[Event] Virtual 2020 New York Regional Conference - May 8th, New York, NY

Regional Virtual Healthcare Compliance Conference Overview - Our one-day Regional Compliance Conferences provide attendees with a forum to interact with local compliance professionals, share information about your...more

Health Care Compliance Association (HCCA)

[Event] 2020 Virtual Columbus Regional Conference - May 1st, Columbus, OH

Our Virtual Regional Healthcare Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask...more

Goodwin

SEC Charges Officers, Directors, Stockholders and Companies for Failure to Timely File Reports Under Sections 13 and 16 of the...

Goodwin on

The director of the SEC’s Division of Enforcement, Andrew Ceresney, said that using quantitative analytics the SEC has identified various individuals and companies with especially high rates of filing deficiencies and...more

Perkins Coie

Hart-Scott-Rodino 2013 Annual Report: Filings Decreased, Transactions Investigated Increased and Enforcement Continues for...

Perkins Coie on

On May 21, 2014, the Federal Trade Commission and the Department of Justice published the Hart-Scott-Rodino Annual Report Fiscal Year 2013 (for the period from October 1, 2012 to September 30, 2013). The Annual Report...more

Morgan Lewis

Public Company Boards and Management will be Affected by PCAOB’s New and Amended Auditing Standards Regarding Related Party...

Morgan Lewis on

The PCAOB’s new and amended auditing standards, adopted on June 10 and subject to SEC approval, require that auditors, among other things, discuss related party transactions and executive officers’ financial arrangements with...more

Morrison & Foerster LLP

Financial Regulatory Enforcers Expanding Claims Against Individuals

In the wake of the financial crisis, federal and state regulators are increasingly taking action against individuals for alleged compliance lapses inside financial services companies, and recent reports indicate that...more

Perkins Coie

Recent Changes In SEC Enforcement Policy Require Renewed Attention To Directors’ And Officers’ Insurance Terms

Perkins Coie on

In recent months, the Securities and Exchange Commission (SEC) has announced and implemented policy shifts that could compromise the availability of directors’ and officers’ (D&O) insurance coverage for entities and...more

The Volkov Law Group

Hyper-Focus On Corporate Governance: Dangers And Risks To Corporate Boards

The Volkov Law Group on

Corporate boards are under increasing government and shareholder scrutiny. ...more

Troutman Pepper

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

Troutman Pepper on

The Securities and Exchange Commission (SEC) recently has set its sights on registered entities and their officers and directors for overvaluing the entities’ assets....more

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