White Collar, Investigations and Enforcement

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
Dr. Patrick Conroy Managing Director
Chair of NERA's Securities and Finance Practice
New York City +1 212 345 1466 patrick.conroy@nera.com
Dr. Graeme Hunter Managing Director New York City +1 212 345 7724 graeme.hunter@nera.com
Dr. Vinita Juneja Managing Director
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. Faten Sabry Managing Director
Bankruptcy Practice Chair
New York City
London
+1 212 345 3285
+44 20 7659 8618
faten.sabry@nera.com
Dr. David Tabak Managing Director New York City +1 212 345 2176 david.tabak@nera.com
Dr. Sharon Brown-Hruska Director Washington, DC +1 202 466 9222 sharon.brown.hruska@nera.com
Bradley A. Heys Director Toronto
New York City
+1 416 868 7312
+1 212 345 2691
brad.heys@nera.com
Oksana Kitaychik Associate Director New York City +1 212 345 1094 oksana.kitaychik@nera.com
Robert Patton Associate Director Toronto
London
New York City
+1 416 868 7318
+44 20 7659 8620
+1 212 345 3269
robert.patton@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
+1 917 475 0020
+44 20 7659 8644
mark.berenblut.affiliate@nera.com
Title Type Author
Expert Analysis: Financial Crisis Anniversary - Trends In Credit Crisis Settlements Published Article By Faten Sabry, Sungi Lee, and Linh Nguyen
Securities Class Actions: 2016 Full-Year Review and Mid-2017 Flash Update Published Article By Stefan Boettrich and Svetlana Starykh
BSA/AML Compliance and Enforcement: An Update for the Securities and Derivatives Indu... Published Article By. Sharon Brown-Hruska
Trends in Canadian Securities Class Actions: 2016 Update Report By Bradley A. Heys & Robert Patton
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