Author Archives: Harvard Law School Forum on Corporate Governance and Financial Regulation

SEC Proposes Unprecedented Cybersecurity Rules

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Wednesday, March 2, 2022

On February 9, 2022, the SEC voted to propose rules mandating sweeping cybersecurity measures for registered advisers and funds. The proposal reflects the first SEC rules specifically addressing cybersecurity programs and reporting. Most notably, the rules would impose a rapid reporting requirement when advisers face serious cyberattacks. Advisers would have to report any “significant cybersecurity […]

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The Need for Disclosure About Worker Voice

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Tuesday, March 1, 2022

An Introduction to Worker Voice Despite an increasing focus on company disclosures about workforce-related policies and practices, little attention has been given to very important issues of worker voice: the opportunity and ability of workers to speak out and up about their experience at the workplace and how what they say is heard, discussed, and […]

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Overcoming the Hurdles to Board Leadership on Climate Change

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Tuesday, March 1, 2022

Climate change has emerged as a central and existential risk for organizations—and fertile and critical ground for innovation. Yet new Deloitte research shows that many audit committees, an essential bulwark in helping companies manage and respond to risks and opportunities, haven’t yet sufficiently placed climate change initiatives at the core of their agendas. Among the […]

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SEC Continues March Towards More Intrusive Regulation of Private Funds

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Tuesday, March 1, 2022

In a split 3-1 vote earlier today [Feb. 9, 2022], the SEC proposed sweeping new rules targeted at private equity and other private funds. The proposal, if adopted, would essentially change commercially negotiated terms, in particular the negotiated indemnification provision, by substantive regulation. It also would significantly expand the disclosure of standardized fee and expense […]

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SPAC Law and Myths

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, February 28, 2022

Special purpose acquisition companies (SPACs) were the financial-legal hit of 2021, before they weren’t. SPACs broke records and displaced to an extent conventional initial public offerings (C-IPOs), even as C-IPOs also boomed. SPACs spiked, in part, because of myths about their financial attributes, which others have debunked. (See Michael Klausner, Michael Ohlrogge and Emily Ruan, […]

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Corporate Governance Trends in 2022 and Beyond

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, February 28, 2022

On December 14, 2021, Broadridge hosted its annual Corporate Governance Outlook event. The purpose of the event was to bring together corporate governance industry experts and thought leaders to discuss regulatory trends poised to shape the landscape in 2022 and beyond. Below is a summary of the topics and insights they shared. Universal Proxy Rulemaking […]

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Asset Management Industry Confronts the Challenges Presented by Climate Change Transition

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, February 28, 2022

I. Introduction The asset management industry has been sounding the alarm for some time about the risks and opportunities posed by climate change. While private equity giant, Carlyle, is the most recent financial institution to hit the headlines for its pledge to reach net zero greenhouse gas emissions by 2050, it is not the first […]

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SEC Proposed Amendments to Private Fund Manager Reporting

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Sunday, February 27, 2022

On January 26, 2022, the SEC voted to propose significant amendments to Form PF. Form PF, which was adopted in 2011 in connection with the Dodd-Frank Act, requires large registered investment advisers to file reports with the SEC regarding private funds managed by such advisers and to allow the Financial Stability Oversight Council to assess […]

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SEC’s Role in Cybersecurity

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Saturday, February 26, 2022

In a speech to the Securities Regulation Institute conference last week, Chair Gary Gensler signaled the SEC may implement more stringent cybersecurity regulations, and in the meantime, would work to enforce existing requirements. Since taking office in 2021, Mr. Gensler has often referred to the need for the SEC to be a “cop on the […]

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ESG: 2021 Trends and Expectations for 2022

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Friday, February 25, 2022

Throughout 2021, the importance of environmental, social and governance (ESG) matters proved to be even greater than many had expected, with ESG becoming a key area of focus for a range of stakeholders, particularly in the boardroom. The rise and rise of ESG that we have seen over the past few years is likely to […]

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