Category Archives: Corporate Governance

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Details on the CFTC’s New Self-Reporting Policy

On Sept. 25, 2017, the Program on Corporate Compliance and Enforcement and the Institute for Corporate Governance and Finance at New York University School of Law hosted a policy speech by James McDonald, Director of the Division of Enforcement, United States Commodity Futures Trading Commission (CFTC). Mr. McDonald presented the CFTC’s new self-reporting and cooperation … Continue Reading

Corporate Governance in Insurance: Key Regulatory Considerations

Corporate governance in insurance continues to be a growing focus among state regulators. The National Association of Insurance Commissioners (the NAIC) adopted the Corporate Governance Annual Disclosure (CGAD) Model Act and Model Regulation in 2014, which set forth requirements insurers will need to implement and disclose. Currently, 14 states (California, Connecticut, Florida, Idaho, Indiana, Iowa, … Continue Reading

DOJ’s Recent Memo Reshapes Government Investigations

Through her Sept. 9, 2015, Memorandum entitled “Individual Accountability for Corporate Wrongdoing,” the Deputy Attorney General of the United States, Sally Quillian Yates, issued clear marching orders to civil and criminal prosecutors that will surely shape current and future Wall Street prosecutions. The stated purpose of the memo, to improve “effective enforcement of the civil … Continue Reading

Financial Regulatory Changes Underway

Adoption of the Corporate Governance Annual Disclosure Model Act and the Corporate Governance Annual Disclosure Model Regulation Insurance company executives are used to the scrutiny and standards of fiduciary care that may apply to their positions. The standards that apply can be complicated for an insurance company’s senior executives, who have responsibilities related to their … Continue Reading
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