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Corporate Governance

The Method In Fiduciary Law’s Mixed Messages

Evan Criddle

American courts routinely pay homage to Benjamin Cardozo’s classic statement in Meinhard v. Salmon (1928) that fiduciaries owe their beneficiaries a ‘duty of the finest loyalty’ that is ‘stricter...

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Corporate Governance
Financial Regulation

Understanding the Role of Corporate Governance in Financial Institutions: A Research Agenda

Guido Ferrarini

After the 2008 financial crisis, a substantial part of the blame for the numerous bank failures that occurred as a result of the crisis has been put on corporate governance. Consequently, regulation...

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Corporate Governance
Financial Regulation

Sustainability and Fiduciary Duties in the UK: Legal Analysis, Investor Processes and Policy Recommendations

Brian Tomlinson

Fiduciary duties are foundational for institutional investors. The interpretation of these duties frames investment time-horizons, strategies and objectives, and defines those features of the...

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Commercial Law
Financial Regulation

Fiduciary Contours: Perspectives on Mutual Funds and Private Funds

Deborah A. DeMott

My paper, written for a forthcoming book focused on research concerning mutual funds, examines the content, scope, and function of the fiduciary duties owed by investment managers, drawing in...

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Financial Regulation

Security Recommendations and the Liabilities of Broker-Dealers

Matthew Kozora

In the United States, investors often receive investment advice from two types of financial intermediaries: broker-dealers and investment advisers. Regulatory agencies and self-regulatory agencies...

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Commercial Law

The Fiduciary Status of Employees

Robert Flannigan

Some English judges recently have asserted that employees are not status fiduciaries. Their view is that, while employees have a status duty of “fidelity,” they are accountable as fiduciaries only...

OBLB categories

Corporate Governance
Financial Regulation

New Book by Vicky Comino: “Australia’s ‘Company Law Watchdog’ – ASIC and Corporate Regulation”

Vicky Comino

The focus of my book “Australia’s ‘Company Law Watchdog’ – ASIC and Corporate Regulation” (a book that is entirely dedicated to the Australian Securities and Investments Commission, ASIC) is the...

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Commercial Law
Corporate Governance

ICYMI – Hong Kong Court of Final Appeal decision on Directors’ Fiduciary Duties

OBLB Editors

The Hong Kong Court of Final Appeal has recently issued a decision on directors’ fiduciary duties in Cheng Wai Tao v Poon Ka Man Jason [2016] HKCFA 23. The court found that reliance cannot be placed...

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Commercial Law
Corporate Finance
Corporate Governance

Institutional Investors Must Take a Leadership Role in Financing Climate Mitigation and Adaptation

Janis Sarra

At the recent Conference of the Parties “COP21” in Paris, 195 countries adopted the first-ever “universal, legally binding global climate deal”, committing to limit global warming to below 2°C above...