Search for: "Brian Dodd"
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11 Oct 2017, 3:24 am
Repeal of Section 1502 (conflict minerals), Section 1503 (mine safety), Section 1504 (resource extraction), and Section 953(b) (pay ratio) of Dodd-Frank. [read post]
29 Sep 2017, 6:34 am
Young, Ropes & Gray LLP, on Friday, September 22, 2017 Tags: Appraisal rights, Business judgment rule, Contracts, Controlling shareholders, Delaware cases, Delaware law, Fairness review, Fiduciary duties, Merger litigation, Mergers & acquisitions, Minority shareholders, Misconduct, Shareholder suits Activism: The State of Play Posted by Martin Lipton, Wachtell Lipton Rosen & Katz, on Saturday, September 23,… [read post]
1 Sep 2017, 6:42 am
SEC Staff Examines Impact of Regulation on Capital Formation and Market Liquidity Posted by Ning Chiu, Davis Polk & Wardwell LLP, on Friday, August 25, 2017 Tags: Capital formation, Capital markets, Dodd-Frank Act, Equity offerings, Financial regulation, Investor protection, IPOs, JOBS Act, Liquidity, Regulation D, SEC, Securities enforcement, Securities regulation ISS and the Removal of CEOs: A Call for an… [read post]
11 Aug 2017, 6:00 am
Coscia “engaged in 10 weeks of trading” during which his conduct clearly crossed the line drawn by Dodd-Frank. [read post]
11 Aug 2017, 6:00 am
Coscia “engaged in 10 weeks of trading” during which his conduct clearly crossed the line drawn by Dodd-Frank. [read post]
21 Jul 2017, 6:04 am
Friedman-Boyce and Brian E. [read post]
30 Jun 2017, 6:00 am
Brian David Johnson, who talked to the assembled group about where the compliance profession might be heading down the road. [read post]
27 Jun 2017, 4:22 am
Commentary comes from Joshua Yount at Mayer Brown’s Class Defense Blog and from Brian Wolfman at Public Citizen’s Consumer Law and Policy Blog. [read post]
9 Jun 2017, 6:06 am
Posted by Brian Tayan, Stanford University, on Thursday, June 8, 2017 Tags: Accountability, Boards of Directors, Executive turnover, Firm performance, Firm valuation, Incentives, Management, Market reaction, Succession, Termination, Transparency [read post]
12 May 2017, 6:21 am
Larcker and Brian Tayan, Stanford University, on Thursday, May 11, 2017 Tags: Equity-based compensation, Executive Compensation, Firm performance, Incentives, Institutional Investors, Management, Pay for performance, Performance measures, Say on pay, Shareholder activism [read post]
21 Apr 2017, 6:25 am
Dallas, University of San Diego, on Wednesday, April 19, 2017 Tags: Behavioral finance, Boards of Directors, Compensation disclosure, Compensation ratios, Corporate culture, Dodd-Frank Act, Dodd-Frank s.953, Executive Compensation, Management, Managerial style, Say on pay, SEC, Securities regulation, Shareholder value Do Staggered Boards Affect Firm Value? [read post]
21 Apr 2017, 6:25 am
Dallas, University of San Diego, on Wednesday, April 19, 2017 Tags: Behavioral finance, Boards of Directors, Compensation disclosure, Compensation ratios, Corporate culture, Dodd-Frank Act, Dodd-Frank s.953, Executive Compensation, Management, Managerial style, Say on pay, SEC, Securities regulation, Shareholder value Do Staggered Boards Affect Firm Value? [read post]
31 Mar 2017, 8:23 am
Despite these limitations, the Senators alleged that Piwowar “has decided to jumpstart the deregulatory agenda, freezing unfinished Dodd-Frank requirements and opening the door to scaling back some completed rules he considers politicized. [read post]
30 Mar 2017, 9:44 am
• National efforts, mostly disclosure oriented • Dodd Franck ¶1502Conflict Minerals (2010); • UK Modern Slavery Act (2015) • France: Supply Chain Due Diligence Law (2017) [24 March 2017: Constitutional Council removed the €10 to €30 million civil penalty attached, liability continues to apply when companies default on their duty of vigilance obligations, including failing to publish a vigilance plan or faults in its implementation.] 5Source HERE … [read post]
10 Mar 2017, 4:25 am
Here’s an excerpt from this Bloomberg article: Now, though, the drive to wipe out or scale back Dodd-Frank has lost momentum. [read post]
7 Feb 2017, 1:16 pm
By Mark Wiletsky and Brian Hoffman The U.S. [read post]
30 Jan 2017, 1:25 pm
Brian Slagle The Ninth Circuit recently issued its opinion in CFPB v. [read post]
23 Dec 2016, 1:00 am
Eisenberg, K&L Gates LLP, on Monday, December 19, 2016 Tags: Accounting, Asset management, Broker-dealers, Conflicts of interest, Disclosure, Dodd-Frank Act, FCPA, Fiduciary duties, Hedge funds, Insider trading, Investment advisers, Private equity, SEC, SEC enforcement, Securities enforcement A New Administration: Change and Continuity in Securities Regulation Posted by William McLucas & Harry Weiss, Wilmer Cutler Pickering Hale and Dorr LLP, on Monday, December 19, 2016 Tags:… [read post]
2 Dec 2016, 1:01 am
Securities and Exchange Commission, on Tuesday, November 29, 2016 Tags: Asset-backed securities, Credit default swaps, Derivatives, Dodd-Frank Act, Financial crisis, Financial regulation, Investor protection, OTC derivatives, Ratings agencies, SEC, Securities regulation, Skin in the game Succession “Losers”: What Happens to Executives Passed Over for the CEO Job? [read post]
25 Nov 2016, 1:01 am
Pay for Performance Alignment in Times of Declining Performance Posted by Jeff Joyce and Brian Lane, Pay Governance LLC, on Sunday, November 20, 2016 Tags: Compensation disclosure, Executive Compensation, Executive performance, Firm performance, Incentives, Institutional Investors, ISS, Management, Pay for performance, Proxy advisors, Proxy voting, Say on pay, Shareholder value, Surveys The Law and Brexit VIII Posted by Thomas J. [read post]
