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11 May 2018, 6:01 am
Larcker (Stanford University) and Brian Tayan (Stanford University), on Thursday, May 10, 2018 Tags: Accountability, Board independence, Board oversight, Board performance, Boards of Directors, Corporate culture, Information asymmetries, Information environment, Netflix, Transparency Beaches and Bitcoin: Remarks before the Medici Conference Posted by Hester M. [read post]
Commissioner Quintenz warns “grim” budget situation threatens CFTC functioning, may cause staff cuts
10 May 2018, 7:03 am
This would only be 30 more employees than the CFTC had in 2010—before the Dodd-Frank Act massively expanded the agency’s mission to add jurisdiction over swaps transactions. [read post]
26 Apr 2018, 4:03 pm
This again is a good point, and one other journalists have repeatedly made (notably Brian Farmer and Mike Dodd of the Press Association), particularly in relation to the family courts where even the names of the parties are, of necessity given the subject matter, often anonymised. [read post]
6 Apr 2018, 6:08 am
New Evidence from a Natural Experiment Posted by Ana Albuquerque (Boston University) and Julie Lei Zhu (Shanghai Advanced Institute of Finance), on Wednesday, April 4, 2018 Tags: Accounting, Audits, Firm performance, Internal auditors, International governance, Management, Risk-taking, Sarbanes–Oxley Act, Securities regulation, Shareholder value, Small firms, SOX Section 404 How Board Skills Vary by Director Age Groups Posted… [read post]
14 Mar 2018, 12:46 am
Here is Britt and Brian’s article. [read post]
2 Mar 2018, 6:09 am
The Supreme Court and the Scope of Whistleblowing Anti-retaliation Protections Posted by Cydney Posner, Cooley LLP, on Friday, February 23, 2018 Tags: Disclosure, Dodd-Frank Act, Exchange Act, Misconduct, Rule 21F-2, Sarbanes–Oxley Act, SEC, Securities regulation, Supreme Court, U.S. federal courts, Whistleblowers Public Company Cybersecurity Disclosures Posted by Kara M. [read post]
28 Feb 2018, 7:14 am
Notwithstanding, the exact opposite was the case as CFTC Commissioner Brian Quintenz delivered the keynote address before the Structured Finance Industry Group conference in Las Vegas, Nevada. [read post]
23 Feb 2018, 4:07 am
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission. [read post]
21 Feb 2018, 12:36 pm
By Brian Neil Hoffman and Jeremy Ben Merkelson Brian Neil Hoffman The United States Supreme Court today narrowed the universe of plaintiffs who can claim protection under the whistleblower anti-retaliation provisions of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). [read post]
21 Feb 2018, 12:36 pm
By Brian Neil Hoffman and Jeremy Ben Merkelson Brian Neil Hoffman The United States Supreme Court today narrowed the universe of plaintiffs who can claim protection under the whistleblower anti-retaliation provisions of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). [read post]
26 Jan 2018, 6:32 am
Larcker and Brian Tayan (Stanford University), on Saturday, January 20, 2018 Tags: Boards of Directors, Compliance & ethics, Corporate culture, Cybersecurity, Incentives, Management, Misconduct, Reputation, Risk management, Risk oversight, Tech companies, Uber Remarks on Shareholder Engagement Posted by Jay Clayton, U.S. [read post]
12 Jan 2018, 6:08 am
Downes, and Brian D. [read post]
27 Dec 2017, 11:19 am
Moore, NANCY PELOSI, Brian Schatz, CHARLES E. [read post]
27 Dec 2017, 11:19 am
Moore, NANCY PELOSI, Brian Schatz, CHARLES E. [read post]
22 Dec 2017, 6:07 am
Barshay, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Monday, December 18, 2017 Tags: Boards of Directors, Business judgment rule, Delaware cases, Delaware law, DGCL, Disclosure, Materiality, Merger litigation, Mergers & acquisitions, Shareholder suits, Tender offer Designing Cost-Effective Litigation Through Contract Structure Posted by Cathy Hwang (University of Utah), and Matthew Jennejohn (Brigham Young University),… [read post]
15 Dec 2017, 6:13 am
Reiss, and Brian Tayan (Stanford University), on Tuesday, December 12, 2017 Tags: Accountability, Board monitoring, Boards of Directors, Class actions, Confidentiality, Cybersecurity, Disclosure, Management, Oversight, Privacy, Risk, Risk management SEC Appoints New Chairman and Board Members to PCAOB Posted by U.S. [read post]
5 Dec 2017, 4:21 am
Somers, which involves the whistleblower protections of the Dodd-Frank Act. [read post]
29 Nov 2017, 9:09 am
MOORE, NANCY PELOSI, BRIAN SCHATZ, CHARLES E. [read post]
29 Nov 2017, 9:09 am
MOORE, NANCY PELOSI, BRIAN SCHATZ, CHARLES E. [read post]
13 Nov 2017, 3:03 am
[Brian Feinstein, Chicago via CL&P] A different way to encourage more prudent home lending practice, scale back FDIC coverage [Scott Sumner] Tags: banks, Dodd-Frank, mortgages, Securities and Exchange Commission Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]