Good Risk Governance Pays

Good Risk Governance Pays

Investment Best Practices | Risk Management | Valuation

Category Archives: Key Person

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Reputation and the Investment Management Bottom Line

Posted in Customer Service, Disclosure and Transparency, Governance, Investment Consultants, Investment Management, Key Person, Risk Management
Those in the know understand that both qualitative and quantitative factors must be evaluated when estimating enterprise value. The list of appraisal considerations is too long to address in any one discussion. Suffice it to say that one should understand, measure and benchmark multiple facets of an organization’s business such as production processes, distribution channels, sales infrastructure and customer service. A clarity… Continue Reading

One Size Does Not Fit All When It Comes To Pay

Posted in Compliance, Disclosure and Transparency, Financial Reporting, Governance, Key Person, Regulation
At a time when skilled talent is hard to find, business executives may want to resist the urge to socially engineer. One tech company CEO learned this lesson the hard way. According to “Seattle company copes with backlash on $70,000 minimum wage” (Seattle Times, August 1, 2015), across-the-board raises to establish a minimum base salary,… Continue Reading

Financial Fraud At Ball State University

Posted in Broker Dealers, Compliance, Ethics, Financial Reporting, Fraud, Key Person, Trading
According to “Ex-prosecutor helps Ball State avert future fraud” (Indianapolis Business Journal, December 7, 2014), the university has hired a team to implement safeguards in the aftermath of losing more than $13 million in several investment scams. Using a reputable brokerage firm, establishing a third party managed hotline for whistleblowers and ensuring custodial best practices for securities are some… Continue Reading

Do CEOs Work Hard Enough?

Posted in Disclosure and Transparency, Financial Reporting, Governance, Key Person, Regulation, Valuation
By invitation of the head of the finance department, Dr. Chinmoy Ghosh, I am guest lecturing to students this fall as part of a Financial Risk Management graduate-level course. During a recent session about executive compensation – one of the topics I was asked to address – more than a few students opined that CEOs earn too much and… Continue Reading

Executive Compensation: Governance and Litigation Considerations

Posted in Compliance, Disclosure and Transparency, Financial Reporting, Key Person, Litigation, Regulation
On June 25, 2014, I co-presented with Attorney Jeffrey P. Crandall on the topic of executive compensation and related governance and litigation consideratons. Sponsored by the Practising Law Institute, our talk addressed topics such as “say on pay,” clawbacks, Section 162(m) lawsuits, valuation and Dodd-Frank mandates. With so much to address, an hour was a… Continue Reading