Compliance & Ethics

When peeling back the onion on many corporate ethics scandals, a common theme is the Board of Directors not having proper and timely information. While board members are typically well intentioned, a passive management...

Adapted from a speech to the American Enterprise Institute. The commissioner’s remarks, excerpted and edited for length, represent her views and not necessarily those of the SEC or her fellow Commissioners. Let me start by...

In an environment where investors are increasingly focused on corporate governance practices and plaintiffs’ lawyers pore over proxy statements for disclosure issues, public company boards are strongly encouraged to focus on hedging policies before next year’s proxy season begins.

Poorly managed diversification has been one of the primary contributors to shareholder value destruction. However, properly managed diversification offers profitable growth beyond the core that can significantly improve shareholder value.

Forgive Simon Sinek if he’s supportive of the sentiment but skeptical of the sincerity of the Business Roundtable in its recent self-redefinition of the purpose of a corporation.

Because corporate or executive wrongdoing may result in criminal prosecution, large civil fines, substantial damages, and negative publicity, a carefully-planned and well-executed investigation is critical.