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  • John C. Coffee, Jr. – Boeing and the Future of Deferred Prosecution Agreements By John C. Coffee, Jr.
  • Leveraging Information Forcing in Good Faith By Hillary Sale
  • The Dark Side of Safe Harbors Comment bubble 2 By Susan C. Morse
  • John C. Coffee, Jr. – Mass Torts and Corporate Strategies: What Will the Courts Allow? By John C. Coffee, Jr.
  • Compliance’s Next Challenge: Polarization By Miriam H. Baer
  • Will the Common Good Guys Come to the Shootout in SEC v. Jarkesy? And Why It Matters By Eric W. Orts
  • Climate Disclosure Line-Drawing and Securities Regulation By Virginia Harper Ho
  • Board Committee Charters and ESG Accountability By Lisa M. Fairfax
Editor-At-Large Reynolds Holding

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Columbia Law School's Blog on Corporations and the Capital Markets

Editorial Board John C. Coffee, Jr. Edward F. Greene Kathryn Judge

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November 2019

Welcome to Vilnius: Regulatory Competition in the EU Market for E-Money

By Luca Enriques November 4, 2019 by renholding

If you google “Lithuania e-money,” the auto-fill function will suggest that you search for ”Lithuania e-money license.” If you accept the tip, the first result will be Ecovis, which describes itself as “the most experienced finance institution and FinTech licensing …

Ropes & Gray Discusses DOJ’s New Guidance on Inability-to-Pay Claims

By Laura Hoey, Deanna Minasi and Alex Spector November 4, 2019 by renholding

On October 8, 2019, the Criminal Division of the U.S. Department of Justice (“DOJ” or the “Government”) issued new guidance for federal prosecutors to follow when corporations claim they are unable to pay a criminal fine or monetary penalty.  For …

The Case for Institutional Investors’ Collective Engagements

By Giovanni Strampelli and Gaia Balp November 1, 2019 by renholding

Shareholder cooperation is on the rise as a tool for active corporate ownership and a way to effectively voice concerns about corporate governance and performance. While “wolf packs” of activist hedge funds that aim to bring about significant corporate change …

How Elizabeth Warren Is Reviving the Concession Theory of the Corporation

By Abdurrahman Kayıklık November 1, 2019 by renholding

There are three main theories of the corporation as a legal entity: the concession theory, the real entity theory, and the aggregate (contractarian) theory.[1] Once the most prominent of the three, the concession theory fell out of favor long …

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TheFilter

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Each business day, our team sifts through blog posts, news stories, and other sources to keep up-to-date on relevant recent developments. The following links will take you to our recommended selections. To see the sources we follow click Filter Sources.

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Reuters
Convictions of Opioid Maker Insys’ Founder, Executives Partially Vacated
November 26, 2019
FCPA Professor
SEC Whistleblower Tips Involving FCPA Are Surprisingly Rare
November 26, 2019
Professor Bainbridge
Insider Trading Under Sarbanes-Oxley
November 26, 2019
Jim Hamilton's World
U.S. House Bill Would Define Managed Stablecoins as Securities
November 26, 2019
Reuters
SEC Proposes Derivative Rules for ETFs
November 25, 2019
D&O Diary
Pot Related Securities Suits Hitting Highs
November 25, 2019
Jim Hamilton's World
SEC Launches New Rules on Shareholder-Proposal Responses
November 25, 2019
Federal Trade Commission
FTC Warns of HSR “Avoidance Devices”
November 25, 2019
The Dig
What May Be Driving Under Armour Probe?
November 25, 2019
Cornerstone Research
SEC Public-Company Enforcement Actions Up 30 Percent
November 24, 2019
PubCo @ Cooley
Did SEC Chair Get Punked?
November 24, 2019
Jim Hamilton's World
SEC Updates Credit-Loss Accounting
November 24, 2019
Securities Regulation and Corporate Governance Monitor
The Latest on SEC No-Action Letters
November 24, 2019
Business Law Prof Blog
SEC Needs to Create Standards for Climate Data
November 24, 2019
D&O Diary
Next Class Action Frontier: Biometric Data Privacy
November 21, 2019
PubCo @ Cooley
Should CFOs Serve on Outside Boards?
November 21, 2019
Jim Hamilton's World
CFTC Chair Urges U.S. FinTech Leadership
November 21, 2019
Business Law Prof Blog
Unpaid FINRA Arbitration Awards May Be Escalating
November 21, 2019
Appraisal Rights Litigation Blog
Proxy Contest Doesn’t Justify Books and Records Inspection
November 21, 2019
Reuters
Phase One of U.S.-China Trade Deal Looks Unlikely This Year
November 20, 2019
Delaware Business Litigation Report
Delaware Chancery Finds No Change in “Control Group” Principles
November 20, 2019
D&O Diary
Number of Whistleblower Reports and Awards Down Slightly
November 20, 2019
Reuters
Fed OKs BB&T, SunTrust Bank Union
November 19, 2019
D&O Discourse
Time to Revive Securities “Litigation”
November 19, 2019
Jim Hamilton's World
SEC Commissioners Explain Support for Non-Transparent ETFs
November 19, 2019
Corporate & Securities Law Blog
California Court Nixes Selection of New York Forum
November 19, 2019
Appraisal Rights Litigation Blog
Does Appraisal Narrow Arbitrage Spreads?
November 19, 2019
D&O Diary
“Cyan” Made a Mess of Securities Suits
November 18, 2019
The Regulatory Review
Insider-Trading Law Flexibility Is a Feature, Not a Bug
November 18, 2019
The National Law Review
SEC Enforcers Doing More With Less
November 18, 2019
Securities and Exchange Commission
SEC Issues 2019 Whistleblower Report
November 18, 2019
Delaware Corporate & Commercial Litigation Blog
Shareholder Demands for Records: A Tale of Three Cases
November 18, 2019
Reuters
HP Open to Exploring Xerox Bid
November 17, 2019
Professor Bainbridge
Don’t Cry for ISS, Glass Lewis
November 17, 2019
Jim Hamilton's World
Telegram Denies Charges of Offering Unregistered Digital-Token Security
November 17, 2019
Corporate & Securities Law Blog
Sustainability in Food and Beverage Industry
November 17, 2019
Business Law Prof Blog
The Meaning of WeWork
November 17, 2019
Wall Street Journal
SEC’s Cryptocurrency Settlements Showing Cracks
November 14, 2019
PubCo @ Cooley
How Do Investors Use ESG?
November 14, 2019
Jim Hamilton's World
Study Questions Impact of Private-Equity Legislation
November 14, 2019
Dechert
Trustbusters Aggressive in Merger Reviews
November 14, 2019
Business Law Prof Blog
CEO Twitter Accounts Raise Corporate Governance Issues
November 14, 2019
Reuters
Fed Chief Negative on Negative Interest Rates
November 13, 2019
Securities and Exchange Commission
SEC Wins Jury Trial on Manipulative Trading
November 13, 2019
PubCo @ Cooley
Another Suit Challenges Board Gender Diversity Law
November 13, 2019
Jim Hamilton's World
SEC Committee Debates Securities Offering Reforms
November 13, 2019
Weil Private Equity Watch
Beware Forum Selection Clauses
November 13, 2019
Reuters
“Reasonable Suspicion” Required for Search of Travelers’ Digital Devices
November 12, 2019
Dealbook
The Impact of Conviction Reversal in Platinum Partners Fraud Case
November 12, 2019
Professor Bainbridge
Board Quota Law May Hurt Stock Prices
November 12, 2019
Jim Hamilton's World
Supreme Court Rulings Won’t Change Course of SEC Enforcement
November 12, 2019
Davis Polk Briefing
ISS Issues Final 2020 Voting Policies
November 12, 2019
Appraisal Rights Litigation Blog
Texas Says No Jury Right in Appraisal Cases
November 12, 2019
Breakingviews
Success Snares Bolivia’s President
November 11, 2019
Dealbook
Big-Tech Regulation Fervor Grows
November 11, 2019
Delaware Business Litigation Report
Delaware Chancery Denies Facebook Shareholders Compensation Records
November 11, 2019
Jim Hamilton's World
CFTC Fines Trader for Week of Spoofing
November 11, 2019
Davis Polk Briefing
SEC Panel Talks ESG
November 11, 2019
Cleary M&A Watch
The Latest on Director Independence
November 10, 2019
D&O Diary
Shareholder Suit Slaps WeWork
November 10, 2019
FCPA Professor
SEC Chair Gets Foreign Anti-Graft Efforts Wrong
November 10, 2019
Jim Hamilton's World
SEC Mulls ESG Disclosure
November 10, 2019
Business Law Prof Blog
How Common Ownership Affects Shareholder Voting
November 10, 2019
FCPA Professor
Does SEC Even Need an FCPA Unit?
November 7, 2019
CNBC
Facebook’s Crypto-Boss Says Bitcoin Not a Currency
November 7, 2019
PubCo @ Cooley
Glass Lewis Offers Tips on Handling New No-Action Letter Approach
November 7, 2019
Jim Hamilton's World
SEC Ready to Roll Out New No-Action Letter Procedures
November 7, 2019
Federal Trade Commission
FTC Unwinds a Merger
November 7, 2019
D&O Diary
SEC Whistleblower Protections Extend Beyond Employees
November 6, 2019
Wall Street Journal
Whistleblower Says Mattel, PwC Obscured Accounting Issues
November 6, 2019
Securities and Exchange Commission
SEC Issues 2019 Enforcement Report
November 6, 2019
Law.com
Law Firm Quinn Emanuel Allows Clients to Pay in Bitcoin
November 6, 2019
Jim Hamilton's World
SEC Commissioner Peirce Touts Digital-Assets Safe Harbor
November 6, 2019
Reuters
Wallgreens Explores Going Private
November 5, 2019
D&O Diary
Delaware Supreme Court Mulls Meaning of “Securities Claim”
November 5, 2019
Jim Hamilton's World
CFTC Sued Over “Secret Settlement” in Kraft Case
November 5, 2019
Davis Polk Briefing
Glass Lewis Issues 2020 Proxy Voting Guidelines
November 5, 2019
Reuters
Investors in Dark on Saudi Aramco Value
November 4, 2019
CNBC
One Manipulator Pushed Bitcoin to $20,000
November 4, 2019
Securities and Exchange Commission
SEC Charges Issuer, CEO With Violating Whistleblower Protections
November 4, 2019
Wall Street Journal
Feds Probe Under Armour Accounting
November 4, 2019
PubCo @ Cooley
Why an Auditor Fox in the Client Henhouse is a Good Thing
November 4, 2019
D&O Diary
Australian Court Reaches First Judgment in Securities Class Action
November 3, 2019
PubCo @ Cooley
ISS Sues SEC Over Proxy Guidance
November 3, 2019
Jim Hamilton's World
CFTC Chair Marks His First 100 Days
November 3, 2019
Bloomberg
SEC Mulls SEC Clawback Suit
November 3, 2019
Business Law Prof Blog
Will Easy Stock Trades Alter the Market?
November 3, 2019

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