Tag: U.S. Securities and Exchange Commission
Profits, Performance & Ethics: Ready For The Coming Convergence?
“Top executives need to be paid a lot to be willing to do their demanding role. Company performance depends almost entirely on the top...
Board Governance – How Do You Deal With CEO Misconduct?
Even the best of corporations are not immune from the potential damage that can be sustained arising from the alleged ethical lapse or misconduct on...
Cashing In On Political Intelligence
On April 1, 2013, an hour before the markets closed, a congressional staffer named Brian Sutter passed along to a lobbyist the kind of...
S.E.C. Wants the Sinners to Own Up
For decades, the Securities and Exchange Commission has allowed companies and individuals to make settlements without admitting any wrongdoing. Even a company committing an...
Can We Please Put Some Bankers in Jail Now?
Supporters lauded Attorney General Eric Holder’s legacy on civil rights when he announced his resignation at the end of September. But his work—or lack...
The Balancing Act: Short-Term Objectives and Long-Term Performance
One of the hardest tightrope acts for any business is balancing short-term objectives and long-term performance;
In a management study awhile back, a majority of...
Regulation AB II: Second Time’s the Charm?
On August 27, 2014, following years of preparation, speculation and comment, the Securities and Exchange Commission (SEC) adopted Regulation AB II (Reg AB II)....
Dodd-Frank: Can We Really Calculate The Cost?
American Banker recently called for a data-driven analysis of the economic impacts of the Dodd-Frank Act and related regulations. We welcome the call for...
Bank Settlements and the Great Recession: Why Businesses Need Ethics
The US Government is making multi-billion dollars settlements with America’s largest banks, including Bank of America, Citi Bank, and Goldman Sachs for their involvement...
Wall St. Prosecutors Bare Their Teeth, but Still Lack Bite
Admitting a problem, as the cliché has it, is the first step to solving it. But with the Justice Department and the Securities and...
