Corporate Governance and Compliance

Meeting current and emerging governance requirements and regulatory expectations can be a significant challenge for firms in many industries. NERA works with clients to ensure they are in full compliance with governance and regulatory requirements, while simultaneously maximizing the usefulness of required processes within the business context. We address governance-related issues that are central to many types of litigation, including fiduciary duty, shareholder rights and proxy contests, Sarbanes-Oxley compliance; ERISA compliance, issues of board process, executive compensation, options grants, insider trading, and Rule 10b5-1 stock sale plans, and intercompany relationships.
 
Allegations of improper governance practices or regulatory compliance failure require multidisciplinary expertise. NERA maintains a strong understanding of current regulations and their interpretations. Our experts have direct regulatory experience, and in many cases have written or contributed to rules. This experience gives us insight into current regulatory hot buttons as well as potential rule changes, governance requirements, and new regulations. Our extensive network of experts has held key positions at the Federal Reserve Board, the Commodity Futures Trading Commission, and the Securities and Exchange Commission, and as participants of the President’s Working Group on Financial Markets.

Our experts also have extensive financial industry experience, holding positions on trading desks and as risk and valuation managers at some of the world’s leading financial companies. Additionally, NERA has advised numerous major banks, insurance companies, mutual funds, and hedge funds on a variety of governance, compliance, and regulatory issues. NERA’s depth and breadth of industry experience ensures our ability to assist clients in using both best practices and emerging practices to ensure that they meet governance and compliance requirements.

Name Title Location Phone Email
Dr. Vinita Juneja Managing Director
Co-Chair of NERA's White Collar, Investigations and Enforcement Practice
New York City
London
Toronto
+1 212 345 3148
+44 20 7659 8618
+1 416 868 7314
vinita.juneja@nera.com
Dr. Marcia Kramer Mayer Managing Director New York City +1 212 345 2196 marcia.mayer@nera.com
Bradley A. Heys Director Toronto
New York City
+1 416 868 7312
+1 212 345 2691
brad.heys@nera.com
Ivelina Velikova Senior Consultant New York City +1 212 345 1160 ivelina.velikova@nera.com
Dr. Jerry Arnold Affiliated Academic Los Angeles +1 310 570 3982 JArnold@marshall.usc.edu
Dr. James Overdahl Affiliated Industry Expert Washington, DC +1 202 547 3035 joverdahl@deltastrat.com
Mark L. Berenblut Affiliated Consultant Toronto
New York City
London
+1 416 868 7311
+1 212 345 2687
+44 20 7659 8644
mark.berenblut.affiliate@nera.com
Title Type Author
Economic Analysis in the Federal Rule-Making Process to Implement the Dodd-Frank Wall... Working Paper By Dr. James Overdahl
SEC Settlements Trends: 3Q09 Update Study
Ponzi Scheme Detection: How the SEC Can Catch the Next Thief Working Paper By Dr. Marcia Kramer Mayer
Study of the Impact of Securitization on Consumers, Investors, Financial Institutions... Study By Dr. Faten Sabry and Dr. Chudozie Okongwu
SEC Settlements Trends: 1Q09 Update Study
Financial Disclosure and SFAS 157: Seeking Transparency in a Perfect Storm Published Article By Dr. Sharon Brown-Hruska with former NERA Vice President Shuchi Satwah
FCPA Settlements: It's a Small World After All Working Paper By Raymund Wong and Dr. Patrick Conroy
Where Was SOX? Published Article By Dr. Henry Butler with Professor Larry E. Ribstein, Mildred Van Voorhis Jones Chair in Law at the University of Illinois
Economists' Views: New Playbook for a Financial Crisis Brief
The Paulson Proposal: An Update on Economists' Views Brief