White Collar Criminal Litigation, Investigations, and Compliance

Corporate Governance and Compliance

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, 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. We also work frequently with outside industry and academic experts.

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
Mark L. Berenblut Senior Vice President Toronto
New York City
London
+1 416 868 7311
+1 212 345 2687
+44 20 7659 8644
mark.berenblut@nera.com
Matthew Evans Senior Vice President New York City +1 212 345 2945 matthew.evans@nera.com
Dr. Vinita Juneja Senior Vice President
Co-Chair of NERA's White Collar Criminal Litigation, Investigations, and Compliance 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 Senior Vice President New York City +1 212 345 2196 marcia.mayer@nera.com
Bradley A. Heys Vice President Toronto
New York City
+1 416 868 7312
+1 212 345 2691
brad.heys@nera.com
Dr. Graeme Hunter Vice President
Co-Chair of NERA's White Collar Criminal Litigation, Investigations, and Compliance Practice
New York City +1 212 345 7724 graeme.hunter@nera.com
Oksana Kitaychik Senior Consultant New York City +1 212 345 1094 oksana.kitaychik@nera.com
Dr. Jerry Arnold Affiliated Academic Los Angeles +1 310 570 3982 JArnold@marshall.usc.edu
Dr. Henry Butler Affiliated Academic Washington, DC +1 224 330 0540 henry.butler@nera.com
Dr. James Overdahl Affiliated Industry Expert Washington, DC +1 202 547 3035 joverdahl@deltastrat.com
Title Type Author
SEC Settlement Trends: 2H11 Report By Dr. James A. Overdahl et al.
Will Court Short-Circuit Dodd-Frank? Published Article By Dr. James Overdahl with Dr. Jonathan Macey, Sam Harris Professor of Corporate Law at Yale University, and former NERA economist Dr. Elaine Buckberg
Trends in Regulatory Enforcement in UK Financial Markets Report By Robert Patton et al.
SEC Settlements Trends: 1H11 Update Report By Dr. James Overdahl et al.
SEC Settlements Trends: 2H10 Update Report By Dr. James Overdahl et al.
What Do the New Risk Retention Requirements of the Dodd-Frank Act Mean for Securitiza... Working Paper By Dr. Faten Sabry
Economic Analysis in the Federal Rule-Making Process to Implement the Dodd-Frank Wall... Working Paper By Dr. James Overdahl
Crowdsourcing Fraud Detection: Using Collective Wisdom to Expose the Next Madoff Working Paper By Dr. Marcia Kramer Mayer et al.
SEC Settlements Trends: 1H10 Update Study By Dr. James Overdahl et al.
SEC Settlements Trends: 1Q10 Update Report