News & Analysis as of

Senior Managers Board of Directors

StoneTurn

Operationalizing the N.Y. Department of Financial Services Character and Fitness Guidance

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At the start of 2024, the New York State Department of Financial Services (“DFS”) issued an industry letter: Guidance on Assessment of the Character and Fitness of Directors, Senior Officers, and Managers (the “Guidance”),...more

K2 Integrity

Roundtable Discussion Of The 2024 Global Internal Audit Standards Updates

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On 20 March 2024, K2 Integrity hosted a webinar on the implications of the recent updates to the Global Internal Audit Standards (“Standards”). The discussion included David Hyman, senior vice president and senior audit...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Informed Board Podcast | CEO Succession Planning on a Clear Day

Succession planning for senior management should be an annual process, managed by the board. Our panel discusses best practices, including how to develop multiple and next-level candidates, how to keep internal candidates...more

Sheppard Mullin Richter & Hampton LLP

The Close-Out Debrief

Investigations are stressful for an organization’s leadership. But what is often overlooked is that they are stressful for an organization’s employees as well. The need-to-know nature of internal investigations usually...more

Perkins Coie

Corporate Transparency Act Will Require Disclosure of Senior Officers and Directors of Many US and Foreign Companies

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The Corporate Transparency Act (CTA) became law on January 1, 2021, and requires companies formed and/or operating in the United States to disclose beneficial ownership information through a database that will be maintained...more

Woodruff Sawyer

New Director Onboarding: A Roadmap for Boards

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Public company boards face an ever-increasing list of topics that fall under their oversight responsibilities. As the list gets longer, so too does the breadth of skills and backgrounds that boards view as important when...more

Bennett Jones LLP

Additional Changes to Alberta's Business Corporations Act Now in Effect

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The Alberta Government's Business Corporations Amendment Act, 2021 (formerly Bill 84), which we wrote on in our previous insight Additional Changes Coming to Alberta's Business Corporations Act, was proclaimed into force on...more

Bennett Jones LLP

Ontario Announces New Beneficial Ownership Regime to Fight Illicit Financial Activities

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On November 4, 2021, Ontario’s 2021 Fall Economic Statement announced an intention to address tax evasion, money laundering and other illicit financial activities by amending Ontario’s Business Corporations Act to require...more

Bennett Jones LLP

Government of Canada Publishes First Report on Diversity Disclosure

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On April 7, 2021, the Government of Canada published Diversity of Boards of Directors and Senior Management of Federal Distributing Corporations. The report is the first report on the effect of the government's efforts to...more

American Conference Institute (ACI)

[Webinar] FCPA Data Analytics, The Board and Senior Management - May 18th, 1:00 pm - 2:00 pm EDT

5 Things to Know for Securing Buy-In and Budgets for Data-Driven Compliance, Monitoring and Investigations... During this one-hour webinar, you will gain practical takeaways on: - What to anticipate: Recent examples of...more

The Volkov Law Group

Ten Essential Steps to Take Now to Advance Corporate Board Governance (IV of IV)

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Corporate board members face increasing risks.  Federal prosecutors are watching their behavior when corporate malfeasance occurs.  Regulators focus on the important issue of board governance.  Shareholders are ready to file...more

Thomas Fox - Compliance Evangelist

OIG guidance for Boards regarding compliance

The Office of Inspector General (OIG) white paper, “Practical Guidance for Health Care Governing Boards on Compliance Oversight” (OIG Guidance), provides an excellent road map for thinking about how to structure a Compliance...more

Bass, Berry & Sims PLC

Senior Management and Boards in the Time of Social Distancing

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The ongoing fallout from the pandemic associated with the novel coronavirus (COVID-19) continues to challenge companies, boards and management teams across all aspects of their business. In trying times like these, senior...more

A&O Shearman

Federal Reserve Board Adopts Final Control Regulation

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On January 30, 2020, the Federal Reserve Board (the “Board”) adopted final rules (the “Final Control Regulation”) to provide increased transparency and consistency around determining when an investor company has “control”...more

White & Case LLP

Federal Reserve Finalizes Rule Updating Controlling Influence Framework

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On January 30, the Federal Reserve released a highly anticipated final rule that substantially updates and clarifies the agency's regulatory framework for determining when an investor exercises a controlling influence over a...more

Goodwin

Key Takeaways for Investors From the Federal Reserve’s Final “Control” Rule

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On January 30, 2020, the Board of Governors of the Federal Reserve System (Federal Reserve) issued a final rule (Rule) that revises the Federal Reserve’s regulations related to determinations of whether a first company (an...more

Orrick, Herrington & Sutcliffe LLP

FTC Rings in New Year with ‘Major Changes’ to Cybersecurity Orders and Throwback Reference to WISPs

Earlier this month, Andrew Smith, the FTC’s Director of the Bureau of Consumer Protection, announced that the Commission had made “three major changes” to its data security orders. Citing recent hearings at the FTC, as well...more

Foley & Lardner LLP

Board-Level Risk Oversight Deserves Renewed Attention

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Board oversight of significant company risk areas and legal compliance deserves renewed attention, as the Delaware Supreme Court recently ruled that monitoring practices that have previously been considered acceptable may...more

Jones Day

APRA v. IOOF—Key Issues for Australian Directors and Management

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On 20 September 2019, the Federal Court of Australia delivered its much-anticipated judgment in the highly publicised proceedings brought by APRA against IOOF's Chairman, Managing Director, three senior executives and two...more

Foley & Lardner LLP

INSIGHT: New Corporate Board Procedures Advisable to Satisfy Duty of Oversight

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In Marchand v. Barnhill, a unanimous Delaware Supreme Court imposed substantial new procedural expectations on corporate directors to satisfy their fiduciary duty of oversight related to material risk areas and legal...more

The Volkov Law Group

Living in the Cloud: Practical Approaches to Cybersecurity Risks (Part III of III)

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Businesses are increasingly relying on the cloud to store confidential and sensitive information.  One-third of information technology budgets are used for cloud services.  Rapid growth in cloud storage is expected over the...more

Bennett Jones LLP

New Diversity Disclosure Requirements for Public CBCA Corporations

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Public corporations incorporated under the Canada Business Corporations Act (CBCA) will soon be required to report the diversity of their directors and senior management....more

White & Case LLP

Artificial Intelligence: UK Regulators' and Supervisors' growing expectations of Boards and Senior Managers of regulated entities

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On 1 August 2019, the UK FCA published an article titled "Artificial Intelligence (AI) in the Boardroom" in its Insight series of opinion and analysis. Its author, Magnus Falk, a senior technology adviser at the FCA who used...more

Hudson Cook, LLP

Welcome to the Sunshine

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Life under a rock has its benefits - you probably don't get many houseguests, and you're never sunburned. But there are some drawbacks, too. The main one is that you definitely don't know what's been going on out here in the...more

Ruder Ware

The Essence of Compliance - Compliance Officer Authority and Resource Allocation

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How Are Compliance Budgeting and Compliance Officer Autonomy Tied Together When Assessing Compliance Effectiveness? The Department of Justice (“DOJ”)’s compliance program evaluation identifies the need to allocate...more

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