For more than 30 years, leading public and private companies, asset managers and trade associations have turned to Michael Littenberg for advice on M&A, capital markets, corporate governance and ESG, CSR and business and human rights matters.
Michael has handled hundreds of M&A and capital markets transactions over the course of his career. These transactions have involved companies across a diverse range of industries totaling tens of billions of dollars of value.
Michael is the global head of the firm’s ESG, CSR & Business and Human Rights compliance practice. He is widely recognized as a leading ESG, CSR and business and human rights practitioner, having advised clients on compliance requirements and stakeholder expectations for his entire career. Michael is highly ranked for both ESG and business and human rights by Chambers Global, among other accolades and awards. Clients note that Michael “melds subject matter expertise, awareness of industry practice and a sense of practicality in his counseling.” Michael has authored hundreds of thought leadership pieces on a diverse range of ESG, CSR and Business and Human Rights topics, and is often quoted in the media.
Michael is also a steering committee member of R&G Insights Lab, a differentiated Ropes & Gray solution for corporate governance and risk in complex business environments.
Credentials
Education
- JD, magna cum laude, Tulane University Law School; associate editor, Tulane Law Review Order of the Coif
- BS, Indiana University
Admissions
New York, 1991
Publications
- Quoted, “Retrenchment or Reform? The SEC and ESG Proposals Under Trump,” Responsible Investor (November 22, 2024)
- Co-author, “State ESG Update and Analysis for Asset Managers and Financial Institutions” (November 2024)
- Quoted, “Getting Down to Business,” Politico (November 19, 2024)
- Quoted, “Gary Gensler’s Ambitious SEC Agenda Could be Near its End,” The Wall Street Journal (November 11, 2024)
- Quoted, “How a Trump Win Would Upend Major Climate Court Fights,” The New York Times (November 2, 2024)
- Co-author, “A Novel Expansion of Alien Tort Statute in 9th Circuit,” Law360 (November 1, 2024)
- Co-author, “Complying with California Climate Disclosure Legislation in 12 Steps,” GRIP Global Relay (October 31, 2024)
- Quoted, “Problematic or practical? Stakeholders split on EU Deforestation Regulation delay,” Responsible Investor (October 11, 2024)
- Quoted, "PE dealmakers struggle with ESG data dilemma," International Financial Law Review (September 26, 2024)
- Quoted, "US and UK PE Lawyers Manoeuvre Carefully Around ESG Investments," International Financial Law Review (September 3, 2024)
- Quoted, “PE dealmakers struggle with ESG data dilemma,” International Financial Legal Review (September 26, 2024)
- Quoted, "Anti-ESG Bills, Priorities Stall in Congress’ Fourth Quarter," Bloomberg Law (August 29, 2024)
- Quoted, "ESG Firms to Court: Climate Disclosures Help Investors," Ignites (August 23, 2024)
- Quoted, "Anti-ESG Slowdown," Politico (July 2, 2024)
- Quoted, "BlackRock Teams with Police, Fire Labor Groups to Push Back on 'Politics' in Investing," FundFire (July 2, 2024)
- Quoted, "Pressure Mounts on EU to Delay Deforestation Rules," ESG Investor (July 2, 2024)
- Quoted, "Anti-ESG Slowdown," Politico (July 2, 2024)
- Quoted, "BlackRock throws support behind effort to move pensions beyond ESG," Financial Times (June 29, 2024)
- Co-author, “Gone Bananas: Will the Transitory Tort Doctrine Be the Next Big Thing in Human Rights Claims Against U.S. Multinationals?” Ropes and Gray Viewpoint (July 9, 2024)
- Cited, “Anti-ESG Slowdown,” Politico (July 2, 2024)
- Quoted, “White House Push to Rein in ‘Wild West’ Voluntary Carbon Markets Could Bolster Investor Confidence,” Pensions & Investments (June 13, 2024)
- Quoted, “Some Corporations Seek to Silence ‘Trojan Horse’ Activists,” The Wall Street Journal (May 22, 2024)
- Quoted, “Sunnier Outlook for California Climate Reporting,” ESG Investor (May 20, 2024)
- Interview, “Ropes & Gray Partners on the Laws Threatening ESG: ESG Currents,” Bloomberg Intelligence (April 17, 2024)
- Quoted, “Garcia’s Take: ESG Risk Management Rises as ESG Investing Fades,” The Wall Street Journal (April 12, 2024)
- Quoted, “SEC Issues Voluntary Stay as Litigation Over Climate Rules Pend,” Sourcing Journal (April 8, 2024)
- Quoted, “Amid Legal Challenges, SEC Pauses its Climate Rule,” Associated Press (April 5, 2024)
- Featured, “Ropes & Gray Partners on the Laws Threatening ESG: ESG Currents,” Bloomberg Intelligence ESG Currents Podcast (April 17, 2024)
- Quoted, “ESG Risk Management Rises as ESG Investing Fades,” Wall Street Journal Private Equity Pro (April 12, 2024)
- Quoted, “Amid Legal Challenges, SEC Pauses its Climate Rule,” Associated Press (April 5, 2024) republished in ABC News.com, Houston Chronicle, San Francisco Chronicle, San Diego Union Tribune, Albany Times Union
- Profiled, “2024 Legalweek Leaders in Tech Law Awards - ESG Enablement Through Technology Winner, Law Firm: Ropes & Gray,” Legaltech News and Law.com (April 2, 2024)
- Quoted, “Carbon Credits Draw Fresh Attention Under SEC’s New Climate Rules,” Wall Street Journal Private Equity Pro (March 27, 2024)
- Quoted, “Explainer: What is going on with the SEC climate rule litigation,” Responsible Investor (March 20, 2024)
- Quoted, “SEC Climate Rule Prompts a Rush to Sue. Experts Say Companies are Likely to Prepare to Comply Anyway,” Associated Press (March 20, 2024), republished in ABC News, Washington Post, San Francisco Chronicle, Canada Financial Post, Yahoo Finance
- Quoted, “SEC Faces Backlash Over Scope 3 Removal,” ESG Investor (March 7, 2024)
- Quoted, “SEC Approves Rule Requiring Some Companies to Report Greenhouse Gas Emissions. Legal Challenges Loom,” Associated Press (March 6, 2024)
- Quoted, “Sued on Both Sides: SEC Braces for Lawsuits from Supporters and Critics of Climate Rule,” Financial Times (March 6, 2024)
- Quoted, “How A Climate Rule Got Watered Down,” The New York Times (March 5, 2024)
- Co-author, “SEC Set to Adopt Climate Disclosure Rules on March 6,” Harvard Law School Forum on Corporate Governance (March 2, 2024)
- Quoted, “SEC to finalize climate disclosure rules on March 6,” IFR (February 29, 2024)
- Quoted, “SEC Expected to Finalize Climate Rules Imminently,” International Financing Review (IFR) (February 26, 2024)
- Quoted, “SEC Dropping Scope 3 Disclosure Requirement Will Not Prevent Legal Action, Lawyer Warns,” Environmental Finance (February 26, 2024)
- Interview, Global Dealmakers (December 12, 2023)
- Co-author, “ESG and Public Pension Investing in 2023: A Year-to-Date Recap and Analysis,” Harvard Law School Forum on Corporate Governance (November 22, 2023)
- Quoted, “California Law Targets Companies’ Use of “Bogus” Carbon Offsets,” The Fashion Law (October 17, 2023)
- Co-author, “Ropes & Gray Discusses the California Climate Bill Almost No One Is Talking About,” Columbia Law School Blue Sky Blog (October 12, 2023)
- Quoted, “Companies Fear Lawsuits From California’s Climate Disclosure Rules,” Reuters and Yahoo Finance (October 12, 2023)
- Quoted, “ESG Investing: Will U.S. Culture Wars Reverse the Trend Toward Considering Environmental, Social and Governance Factors?,” Congressional Quarterly Researcher (October 6, 2023)
- Quoted, “California Takes Heat Off SEC,” ESG Investor (October 4, 2023)
- Quoted, “Green Hub: Navigating ESG Politics: The US Predicament,” The Legal 500 (August 2023)
- Author, “The NHS supplier carbon reduction obligations: An overview,” Med-Tech Insights (August 23, 2023)
- Quoted, “Massachusetts Powerhouse: Ropes & Gray,” Law360 (August 23, 2023)
- Quoted, “Explainer: What to expect once the SEC sets its final climate disclosure rules,” Financial Times Sustainable Views (August 23, 2023)
- Co-author, “Congressional Republicans Continue Attack on 2022 ESG Rule,” The Harvard Law School Forum on Corporate Governance (August 2, 2023)
- Quoted, “Climate Change Will Up Pressure on The Over Energy-Hungry Data Centers,” Corporate Counsel (June 15, 2023)
- Quoted, “Shareholder Activists Drag Companies into Culture Wars,” The Wall Street Journal (May 23, 2023)
- Quoted, “Vodafone and Nestlé Created Panels to Avoid ‘Greenwashing’ Allegations,” The Wall Street Journal (May 23, 2023)
- Quoted, “SEC’s Climate-Disclosure Rule Isn’t Here, But It May as Well Be, Many Businesses Say,” The Wall Street Journal (April 25, 2023)
- Quoted, “SEC Keeps Heat on Cos. Seeking to Bar Investor Proposals,” Law360 (March 30, 2023)
- Interview, “Michael Littenberg of Ropes & Gray on California’s SB 253 and 261,” Watershed (March 24, 2023)
- Quoted, “SEC Keeps Heat on Cos. Seeking to Bar Investor Proposals,” Law360 (March 30, 2023)
- Profiled, “Michael Littenberg of Ropes & Gray on California’s SB 253 and 261,” Watershed (March 24, 2023)
- Quoted, “Barrage of New Laws, Regulations Coming in 2023,” Corporate Counsel (January 11, 2023)
- Co-author, “Complying with the Uyghur Forced Labor Prevention Act: A Detailed Compliance Roadmap,” Employee Relations Law Journal (Spring 2023)
- Quoted, “Five Steps of a Racial Equity Audit of a PE Sponsor’s Portfolio Companies,” Private Equity Law Journal (December 29, 2022)
- Co-Author, "Quest for Control of Legal Spending Continues as LP Scrutiny Intensifies," Private Equity Law Report (December 29, 2022)
- Co-author, “Climate Disclosure and ERISA Rules Put Companies on Notice,” Bloomberg Law (December 27, 2022)
- Quoted, “Companies Must Reduce Impact on Biodiversity Under New U.N. Rules,” The Wall Street Journal (December 19, 2022).
- Interviewed, “Purpose, Logistics and Future of PE Sponsors Using Racial Equity Audits to Evaluate Their Portfolios’ DEI Efforts,” Private Equity Law Report (December 15, 2022)
- Co-author, “Preparing for new CTPAT forced labor compliance requirements,” Westlaw Today (December 14, 2022)
- Quoted, “BlackRock’s ESG Stance Gets Costlier in Red States,” The New York Times (December 2, 2022)
- Quoted, “Florida to Pull $2 Billion from BlackRock in Spreading ESG Backlash,” Financial Times (December 1, 2022)
- Quoted, “EU Looks to Follow Tough U.S. Action on Forced Labor,” The Wall Street Journal (October 31, 2022)
- Co-author, “State Regulation of ESG Investment Decision-making by Public Retirement Plans,” Harvard Law School Forum on Corporate Governance (October 25, 2022)
- Quoted, “The 2022 NLJ Awards: Professional Excellence – ESG & Community Impact Leaders,” The National Law Journal (October 21, 2022)
- Quoted, “SEC climate disclosure rule certain to be challenged,” Pensions & Investments (October 3, 2022)
- Quoted, “6 U.S. Banks Will Assess Their Climate Resilience in Fed Pilot Program,” The Wall Street Journal (September 29, 2022)
- Co-author, “European commission proposes sweeping regulation to ban products made with forced labor,” Westlaw Today (September 28, 2022)
- Featured, “Legal Lessons from Conflict Minerals Disclosures and Potential Parallels in Climate Disclosures,” PracticalESG (September 22, 2022)
- Co-author, “The T—what—FD? A new framework for inequality-related financial disclosures is under development,” Westlaw Today (September 13, 2022)
- Co-author, “Preparing for the SEC’s Climate Disclosure Rules,” Today’s General Counsel (September 6, 2022)
- “The Taskforce on Nature-Related Financial Disclosures Framework – An Overview of the Second Beta Release,” Ropes & Gray Alert (August 16, 2022)
- Quoted, “Ben & Jerry’s Israel fight Carries ESG Lesson for Deal Makers,” Bloomberg Law (August 10, 2022)
- “The SEC’s Proposed Climate Disclosure Rules – Comment Letter Stats,” Ropes & Gray Alert (August 2, 2022)
- “Ratings Firm Scrutiny of Modern Slavery Risks Increases – ISS ESG Launches New Modern Slavery Scorecard,” Ropes & Gray Alert (July 11, 2022)
- “The TASK Act – Proposed Disclosure Requirements for Public Companies Relating to Xinjiang and Other China Activities,” Ropes & Gray Alert (July 5, 2022)
- “Complying with the Uyghur Forced Labor Prevention Act – A Detailed Compliance Roadmap,” Ropes & Gray Alert (June 28, 2022)
- Co-author, “The SEC’s Shot Across the Bow on ‘Greenwashing’ in ESG Funds,” New York Law Journal (June 15, 2022)
- Quoted, “The SEC’s Climate Challenge,” Corporate Board Member (2022)
- Co-author, “Five Steps to a Successful ESG Stakeholder Assessment,” Corporate Board Member (2022)
- Co-author, “Taskforce on Nature-Related Financial Disclosures Framework: Overview of First Beta Release,” Harvard Law School Forum on Corporate Governance (June 12, 2022)
- Quoted, “ESG Funds Provision Hinges on Another (Controversial) Proposal” Financial Times Ignites (June 1, 2022)
- “Taskforce on Nature-Related Financial Disclosures Framework – An Overview of the First Beta Release,” Ropes & Gray Alert (May 23, 2022)
- “New Zealand Moves Toward Proposal of Modern Slavery Legislation That Would Create New Compliance Obligations For U.S.-Based and Other Multinationals,” Ropes & Gray Alert (May 20, 2022)
- Co-author, “A Q&A on the European Commission’s Proposed Corporate Sustainability Due Diligence Directive,” Oxford Business Law Blog (May 10, 2022
- Co-Author, “Swiss Conflict Minerals and Child Labor Due Diligence and Reporting by Many U.S.-Based Multinationals Doing Business in Switzerland,” Employee Relations Law Journal (Summer 2022)
- Quoted, “Winners and losers at this year’s AGMs,” Financial Times (May 4, 2022)
- Quoted, “SEC Climate Proposal has Finance Chiefs ‘In the Hot Seat,’” Financial Times (May 4, 2022)
- Co-author, "Ten Thoughts on the SEC’s Proposed Climate Disclosure Rules," Harvard Law School Forum on Corporate Governance (April 30, 2022)
- “Conflict Minerals Compliance in 2022 – Resources for Compliance,” Ropes & Gray Alert (April 28, 2022)
- Co-author, “10 Considerations After SEC’s Climate Disclosure Proposal,” Law360 (April 28, 2022)
- Co-author, “Five Steps to a Successful ESG Stakeholder Assessment,” Crowe LLP global accounting (April 25, 2022)
- Co-author, “Swiss Conflict Minerals and Child Labor Due Diligence Legislation Takes Effect; Requires Due Diligence and Reporting by Many U.S.-Based Multinationals Doing Business in Switzerland,” Employee Relations Law Journal (Summer 2022)
- “Ten Thoughts on the SEC’s Proposed Climate Disclosure Rules,” Ropes & Gray Alert (April 12, 2022)
- Co-author, “Racial Equity Audits Can Help Bridge the Gap Between Words and Actions,” New York Law Journal (March 23, 2022)
- “Pending and Proposed Deforestation Legislation Will Add New Supply Chain Due Diligence and Reporting Requirements – An Overview of U.K., E.U. and U.S. Federal and State Initiatives,” Ropes & Gray Alert (March 8, 2022)
- “European Commission (Finally) Proposes Mandatory Human Rights and Environmental Due Diligence Directive – A Deep Dive Q&A on the Commission Proposal,” Ropes & Gray Alert (February 28, 2022)
- “The Proposed New York State Fashion Sustainability and Social Accountability Act – An Update Five Months In,” (February 23, 2022)
- “Bipartisan Slave-Free Business Certification Act Reintroduced in the U.S. Senate,” Ropes & Gray Alert (February 22, 2022)
- “Swiss Conflict Minerals and Child Labor Due Diligence Legislation Takes Effect – Will Require Due Diligence and Reporting by Many U.S.-Based Multinationals Doing Business in Switzerland,” Ropes & Gray Alert (February 2, 2022)
- Quoted, “China Forced-Labor Law Risks Snarling Supply Chains, ESG Goals,” Bloomberg Law (January 27, 2022)
- Profiled, “Uyghur Forced Labor Prevention Act Brings New Requirements for Supply-Chain Compliance,” Anti-Corruption Report (January 19, 2022)
- Co-author, “California Adopts Garment Worker Protection Act, Creating New Obligations for Manufacturers, Contractors and Brands,” Employee Relations Law Journal (Spring 2022)
- “President Biden Signs Uyghur Forced Labor Prevention Act – Overview and Near-term Compliance Recommendations,” Ropes & Gray Alert (January 4, 2022)
- Co-author, “Mandatory Human Rights Due Diligence: Guidance for Suppliers Operating in Asia,” The Remedy Project (December 2021)
- Chapter Author, “The Legal Case for Supply Chain Due Diligence,” Assent Compliance, Budgeting for Compliance (December 2021)
- “ISS Publishes Proxy Voting Policies for 2022 Relating to Climate Matters and Racial Equity Audits,” Ropes & Gray Alert (December 21, 2021)
- “New Norwegian Mandatory Human Rights Due Diligence Law Creates Obligations for U.S.-based Multinationals Doing Business in Norway,” Ropes & Gray Alert (December 15, 2021)
- Quoted, “The world inches closer to ’alignment’ on global ESG standards,” Fortune (December 15, 2021)
- Quoted, “US Climate Reporting Framework Expected Q1 2022,” ESG Investor (December 8, 2021)
- “California Adopts Garment Worker Protection Act, Creating New Obligations for Manufacturers, Contractors and Brands,” Ropes & Gray Alert (October 27, 2021)
- Co-author, “SEC Highlighting the Need to Consider Climate Change Disclosures in SEC Filings,” Harvard Law School Forum on Corporate Governance (October 24, 2021)
- “SEC Publishes Sample Comment Letter Highlighting the Need to Consider Climate Change Disclosures in SEC Filings,” Ropes & Gray Alert (October 4, 2021)
- “The European Commission’s ‘Fit for 55’ Proposals – Implications for Industry and the Environment,” Ropes & Gray Alert (July 29, 2021)
- “India Substantially Revamps CSR Requirements – The Impact on Compliance at Indian Subsidiaries of U.S.-Based Multinationals,” Ropes & Gray Alert (July 26, 2021)
- Cited, “We put these ESG lawyers to the test,” Reuters (July 26, 2021)
- Quoted, “More companies are citing water scarcity as a financial risk in regulatory filings,” CBS News.com and CBS Moneywatch (July 22, 2021)
- “The Alien Tort Statute and Human Rights Violations – U.S. Supreme Court Continues to Take a Narrow Road,” Ropes & Gray Alert (July 20, 2021)
- Quoted, “SEC Unlikely To Mimic EU in ESG Rule,” Ignites (July 12, 2021)
- “Navigating State Regulation of ESG Investments by Investment Managers: A Rapidly Evolving and Contradictory Landscape,” Ropes & Gray Alert (June 30, 2021)
- “Proposed Amendments to the U.K. Modern Slavery Act Introduced in Parliament,” Ropes & Gray Alert (June 28, 2021)
- “German Parliament Approves Mandatory Human Rights and Environmental Due Diligence Legislation – Near-term Steps for U.S.-based Multinationals,” Ropes & Gray Alert (June 22, 2021)
- “The Pressure in Germany is Rising: CSR Requirements are Increasing,” Ropes & Gray Alert (May 11, 2021)
- Quoted, “Focus on human rights a challenge in China,” Pensions & Investments (April 19, 2021)
- Co-author, “U.S. State Department Issues Human Rights Compliance Guidance for Products and Services With Surveillance Capabilities,” The Journal of Robotics, Artificial Intelligence & Law (March 2021)
- “Dancing Along the Edge: Balancing the Responsibility to Protect vs. Respect Human Rights in Challenging Environments,” Ropes & Gray Alert (March 26, 2021)
- “President Biden’s Buy American Executive Order Signals Possible Heightened False Claims Act Risk for Government Contractors,” Ropes & Gray Alert (February 11, 2021)
- “U.S., Canadian and U.K. Governments Put Additional Pressure on Xinjiang Sourcing and Related Corporate Compliance Programs,” Ropes & Gray Alert (January 19, 2021)
- “An Overview of French Corporate Social Responsibility Legislation for U.S.-Based Multinationals,” Ropes & Gray Alert (January 14, 2021)
- “The SEC’s New Resource Extraction Payment Disclosure Rules – A Deep Dive,” Ropes & Gray Alert (January 4, 2021)
- “Conflict Minerals Compliance – European Commission Publishes Global List of Conflict-Affected and High-Risk Areas,” Ropes & Gray Alert (December 21, 2020)
- “BlackRock Publishes 2021 Stewardship Expectations – Takeaways for U.S. Public Companies,” Ropes & Gray Alert (December 16, 2020)
- “Mandatory Human Rights Due Diligence Initiative Brought To A Public Vote in Switzerland – Initiative Fails, Parliament Indirect Counterproposal Moves Forward,” Ropes & Gray Alert (December 1, 2020)
- “Canadian Modern Slavery Act Proposed – Would Create Additional Reporting Obligations for U.S.-Based Multinationals,” Ropes & Gray Alert (November 30, 2020)
- “ESG Legislation – Ten Bills for Public Companies To Watch In 2021,” Ropes & Gray Alert (November 9, 2020)
- “DOL Finalizes Rule On ESG Considerations For ERISA Plan Investments,” Ropes & Gray Alert (November 2, 2020)
- “UK Government Announces Commitment to Significantly Increase Modern Slavery Act Reporting Requirements,” Ropes & Gray Alert (October 12, 2020)
- “House Passes Legislation That Would Restrict U.S. Imports of Xinjiang Goods and Require Disclosure of Xinjiang-Related Activities by Public Companies,” Ropes & Gray Alert (September 28, 2020)
- Quoted, “Ethical Investing’s Shifting Winds Force Law Firms to Be Nimble,” Bloomberg Law (September 25, 2020)
- “The Legal Case for Supply Chain Due Diligence,” Budgeting for Compliance in 2021, Assent Compliance (September 2020)
- “Delaware Public Benefit Corporations—Recent Developments,” Harvard Law School Forum on Corporate Governance (August 31, 2020)
- “Taking a Fresh Look at Delaware Public Benefit Corporations – Recent Legal and Market Developments,” Ropes & Gray Alert (August 14, 2020)
- “U.S. Government Agencies Issue Xinjiang Supply Chain Advisory,” Ropes & Gray Alert (July 22, 2020)
- “Spotlight on UK supply chains as UK authorities investigate lockdown working conditions,” Ropes & Gray Alert (July 10, 2020)
- “DOL Proposes Rule to Severely Restrict ESG Considerations in Selecting ERISA Plan Investments,” Ropes & Gray Alert (June 26, 2020)
- “Mandatory Human Rights Due Diligence to Be Brought to a Public Vote in Switzerland,” Ropes & Gray Alert (June 16, 2020)
- Co-author, “Fashion Industry Guide for Capital Markets,” Lexis Practice Advisor (June 12, 2020)
- “Anti-Human Trafficking Compliance Guidance for U.S. Government Contractors is Published,” LexisNexis (June 5, 2020)
- “EU Mandatory Human Rights Due Diligence Legislation to Be Proposed in Early 2021,” Ropes & Gray Alert (May 26, 2020)
- “Regulators Issue Modern Slavery Reporting Guidance Relating to COVID-19,” Ropes & Gray Alert (May 5, 2020)
- “Market Trends 19/20: Conflict Minerals Disclosure and Compliance,” LexisNexis (April 14, 2020)
- “New South Wales Moves a Step Closer Toward Implementation of Modern Slavery Reporting Requirements for U.S.-based and Other Multinationals,” Ropes & Gray Alert (March 30, 2020)
- “UK Mulls New Offence of Failing to Prevent Human Rights Breaches,” Ropes & Gray Alert (March 19, 2020)
- “Revisiting Conflict Minerals Compliance - Developments, Trends and Action Items for the Current Reporting Year and Beyond,” Ropes & Gray Alert (March 4, 2020)
- Quoted, “Four Unfinished Dodd-Frank Rules to Watch at SEC in 2020,” Bloomberg Law (December 27, 2019)
- “Another Proposed Human Rights Due Diligence and Reporting Requirement for Multinationals – This Time Norway,” Ropes & Gray Alert (December 12, 2019)
- “Anti-human Trafficking Compliance Guidance for U.S. Government Contractors Published,” Ropes & Gray Alert (December 9, 2019)
- “The Legal Case for Supply Chain Due Diligence,” Budgeting for Compliance in 2020, Assent Compliance (November 1, 2019)
- “Corporate Social Responsibility Disclosure and Compliance: An Overview of Selected Legislation, Guidance and Voluntary Initiatives,” PLI Institute on Securities Regulation (October 31, 2019)
- “Business Roundtable Broadens Scope of a Corporation’s Purpose to Include Other Stakeholders,” Ropes & Gray Alert (August 26, 2019)
- “Reporting and Disclosure,” chapter in The Lawyer’s Corporate Social Responsibility Deskbook, American Bar Association (September 6, 2019)
- “Complying with the SEC’s Conflict Minerals Rule: An Overview for Compliance Professionals,” The Complete Compliance and Ethics Manual, Society of Corporate Compliance and Ethics (Summer, 2019; chapter updated annually since 2014)
- “Dutch Child Labor Due Diligence Act Approved by Senate – Implications for Global Companies,” Ropes & Gray Alert (June 5, 2019)
- “Market Trends 2018/19: Conflict Minerals Disclosure and Compliance,” LexisNexis (May 29, 2019)
- “Modern Slavery Compliance for U.S.-based (and Other) Multinationals: A Review of Recent Compliance and Disclosure Developments in the United States and Abroad,” Ropes & Gray Alert (April 22, 2019)
- “Corporate Social Responsibility Disclosure and Compliance: An Overview of Selected Legislation, Guidance and Voluntary Initiatives,” PLI Institute on Securities Regulation (November 16, 2018)
- “UK Home Office Ramps Up Modern Slavery Statement Expectations – Recent Developments and Compliance Recommendations for Multinationals,” Ropes & Gray Alert (November 12, 2018)
- “New Australian Modern Slavery Reporting Requirements,” Ropes & Gray Alert (August 17, 2018)
- “Complying with Restrictions on North Korean Content,” Ropes & Gray Alert (July 30, 2018)
- Quoted, “Firms Aren't Scaling Back Conflict Minerals Reporting as Feared,” Bloomberg BNA’s Corporate Law & Accountability Report (June 20, 2018)
- Quoted, “Alternative Investment Industry Believes Sustainability Reporting is Increasingly Important,” AlphaWeek (June 11, 2018)
- “Market Trends 2017/18: Conflict Minerals Disclosure and Compliance,” LexisNexis (May 24, 2018)
- “The UK Modern Slavery Act – Ropes & Gray Resources for Compliance,” Ropes & Gray Alert (May 21, 2018)
- “DOL Publishes Guidance on ESG Investment Considerations by retirement Plans - Takeaways for Managers, Plan Sponsors and Public Companies,” Ropes & Gray Alert (May 7, 2018)
- “Department of Homeland Security Publishes FAQs on North Korean Labor in Supply Chains,” Ropes & Gray Alert (April 5, 2018)
- “Keys to Corporate Social Responsibility Compliance: Part 4,” Law360 (March 29, 2018)
- “Keys to Corporate Social Responsibility Compliance: Part 3,” Law360 (March 28, 2018)
- “Keys to Corporate Social Responsibility Compliance: Part 2,” Law360 (March 27, 2018)
- “Keys to Corporate Social Responsibility Compliance: Part 1,” Law360 (March 26, 2018)
- “Corporate Social Responsibility Compliance in 2018, and Beyond – An Overview for In-House Legal Counsel,” Ropes & Gray Alert (March 12, 2018)
- Quoted, “Kang’s Take: The Road Less Traveled to Initial Public Offerings,” WSJ Pro Private Equity (March 6, 2018)
- “U.S. Legislation requires enhancements to modern slavery compliance procedures to address North Korean labour risks,” Trade Security Journal (March 2, 2018)
- Quoted, “Tackling modern-day slavery within global supply chains,” Financier Worldwide Magazine (December 2017)
- “U.S. Legislation Requires Enhancements to Modern Slavery Compliance Procedures to Address North Korean Labor Risks,” Ropes & Gray Alert (December 18, 2017)
- Co-author, “Fashion Industry Practice Guide,” Lexis Practice Advisor (November 2017)
- “The EU Conflict Minerals Regulation – Frequently Asked Questions and Take-Aways for Downstream Companies (or Why Should I Care About Yet Another New Supply Chain Regulation?)” Ropes & Gray Alert (September 6, 2017)
- Quoted, “Companies remain committed to US conflict minerals reporting,” Chemical Watch (August 17, 2017)
- “Spate of Suits Brought by California Communities for Sea Level Rise May Change Landscape of Climate Change Litigation,” Ropes & Gray Alert (August 8, 2017)
- “Alien Tort Statute Returns To Supreme Court,” Law360 (April 13, 2017)
- “The Supreme Court Considers Whether Companies Can Be on the Hook for Human Rights Violations Under the Alien Tort Statute,” Ropes & Gray Alert (April 11, 2017)
- “SEC Issues Updated Statement on Conflict Minerals Rule,” Ropes & Gray Alert (April 10, 2017)
- “Case Closed! – The Conflict Minerals Rule Litigation is Over, but the Drama Continues,” Ropes & Gray Alert (April 4, 2017)
- “Navigating the UK Modern Slavery Act: A Compliance Challenge,” Risk Assistance Network + Exchange (March 29, 2017)
- “The UK Modern Slavery Act – A Compliance Primer for Fund Managers,” Ropes & Gray Alert (February 14, 2017)
- “Hot Topics in Supply Chain Compliance,” Ropes & Gray Alert (January 23, 2017)
- “The UK Modern Slavery Act – Resources for Compliance,” Ropes & Gray Alert (January 6, 2017)
- “EU Reaches Final Agreement on Conflict Minerals Regulation – An Overview,” Ropes & Gray Alert (November 28, 2016)
- Quoted, “How Hedge Fund Managers Can Design an ESG Investing Policy (Part Two of Two),” The Hedge Fund Law Report (November 17, 2016)
- Quoted, “The Past, Present and Future of ESG Investing in the Hedge Fund Industry (Part One of Two),” The Hedge Fund Law Report (November 10, 2016)
- Quoted, “Cobalt May Be the Next Big Challenge for Corporate Sustainability,” Compliance Week (November 8, 2016)
- “District Court Judge Assigned in Conflict Minerals Rule Case,” Ropes & Gray Alert (October 12, 2016)
- “SEC Adopts Resource Extraction Issuer Disclosure Rule – Changes From the Proposed Rule and Take-aways for Issuers,” Ropes & Gray Alert (July 6, 2016)
- “The U.K. Modern Slavery Act: Unpacking the Requirements for U.S. Based Multinationals,” Thomson Reuters (May 16, 2016)
- “An Interview With Supply Chain Compliance Lawyer Michael Littenberg,” Source Intelligence (March 28, 2016)
- “The SEC’s (Re-)Proposed Resource Extraction Issuer Disclosure Rule – An Update, Deep Dive and Selected Take-aways and Action Items for Issuers,” Ropes & Gray Alert (February 1, 2016); republished in Law360 (February 10, 2016)
- “Conflict Minerals Diligence,” Practical Law (Ongoing)
- “Musings on Conflict Minerals Compliance – The Year That Was, the Year That May Be and What You Should Be Doing Now,” Ropes & Gray Alert (January 19, 2016); republished in Law360 (January 25-27, 2016)
- “Expert Q&A on the UK Modern Slavery Act 2015),” Practical Law (January 11, 2016)
Presentations
- “Global Perspectives: Navigating the Global ESG Regulatory Framework,” American Conference Institute's Second Annual Summit on ESG (October 2022)
- “Recent, Pending and Proposed Developments in ESG and CSR Legislation for U.S. Based Companies,” Mondaq Webinar (July 2022)
- “ESG Update,” Ropes & Gray 2021 Regulatory Conference (October 2021)
- “Canceling the Compliance Culture,” Society for Corporate Compliance and Ethics Annual Conference (September 2021)
- “Conflict Minerals Update,” Aerospace Industries Association (July 2021)
- “Supply Chain Insight 2021: Getting a Return on Your ESG Investment,” Conference Presentation (June 2021)
- “ESG Reporting: Is There a Better Way?” NAVEX ESG Webinar (May 2021)
- “Conflict Minerals & Resource Extraction: Latest Form SD Developments,” TheCorporateCounsel.net Webcast (January 2021)
- “ESG’s Private Equity Channel,” NYU School of Law’s Institute for Corporate Governance & Finance Panel Discussion (November 2020)
- “Global Spotlight: Trends in International Food Law and Supply Chain Policy,” FoodBev Exchange 2020 (October 2020)
- “State of Compliance 2020: Benchmarking Your Program,” Assent Compliance Webinar (June 2020)
- “Modern Slavery Compliance in 2020 (and Beyond) for In-House Legal and Compliance Professionals,” Lexology Webinar (February 2020)
- “Managing Increasing ESG Oversight and Disclosure Expectations – A Primer for In-house Legal and Compliance Personnel at Fashion Brands and Retailers” (February 2020)
- “Corporate Social Responsibility Update,” NRF Joint International Trade Advisory Committee and Strategic Supply Chain Council Meeting (January 2020)
- “From the Top Down: Meeting Board and Investor CSR Expectations,” Assent Supply Chain Insight Conference (November 2019)
- “Modern Slavery and Human Trafficking – What Are Your Obligations?,” PPAI Product Responsibility Summit (September 2019)
- “Does Your Compliance Program Measure Up? Results From The State Of Compliance 2019,” Assent Compliance Webinar (May 2019)
- “Risk Hidden In Plain Sight: Exploring And Understanding The Corporate Supply Chain,” 2019 Sustainability Investment Leadership Conference Panel Discussion (May 2019)
- “Applying The Principles Of Sustainability To Integrated Reporting: A Panel Discussion,” 2019 Sustainability Investment Leadership Conference Panel Discussion (May 2019)
- “An Action Plan For Developing ESG And Integrated Reports: An Experiential Workshop,” 2019 Sustainability Investment Leadership Conference Workshop (May 2019)
- “Band of Brothers: Promoting D&I’s Impact Across the Supply Chain,” Thompson Reuters’ Strength In Numbers Conference Panel Discussion (April 2019)
- “Conflict Minerals and Supply Chain Compliance 2019 Update,” Crowe LLP Webinar (March 2019)
- “Conflict Minerals: Tackling Your Next Form SD,” TheCorporateCounsel.com Webcast (February 2019)
- “Navigating the Legal Landscape,” Assent Compliance Supply Chain Summit Series (February 2019)
- “Human Trafficking in the Supply Chain: Best Practice Recommendations for Complying with Federal, State, and Foreign Requirements,” TRACE Webinar (January 2019)
- “New Perspectives: A Discussion on Modern Global Supply Chains,” American University Law Review Symposium (January 2019)
- “ESG Beyond the Acronym: What Companies Need to Know in 2019,” ICR Conference (January 2019)
- “Responsible Minerals Regulation,” Refractory Metals Association (October 2018)
- “Conflict Minerals and Supply Chain Compliance Update,” Crowe LLP Webinar (October 2018)
- “Navigating the Legal Landscape,” Assent Compliance Supply Chain Summit Series (October 2018)
- “Targeted Product Compliance & Corporate Social Responsibility Education,” Assent Compliance Supply Chain Summit Series (September 2018)
- “Conflict Minerals Update,” Aerospace Industries Association (September 2018)
- “Responsible Sourcing Update,” National Retail Federation Strategic Supply Chain Council and International Trade Advisory Committee Meeting (September 2018)
- “Developments in Modern Slavery Law: What Should Companies Do Now?,” Silicon Valley Conflict Minerals & Human Trafficking Forum (August 2018)
- “Director Summit: Environmental, Social and Governance,” Ropes & Gray Panel Discussion (June 2018)
- “How Does Your Compliance Program Measure Up? – The State of Compliance 2018,” Assent Compliance Webinar (June 2018)
- “Corporate Social Responsibility Compliance - the Expanding Role of the In-House Legal Department,” Lexology Webinar (June 2018)
- “Global Conflict Minerals,” Assent Compliance Webinar (May 2018)
- “Supply Chain Assurance: Legal and Accounting,” Sustainability Investment Leadership Council Conference (May 2018)
- “Strategies for Promoting Human Rights Through the Private Sector: The Shareholder, the Advocate, and Finding Common Ground,” Cardozo's Heyman Center on Corporate Governance and Cardozo Law Institute in Holocaust and Human Rights Panel Discussion (April 2018)
- “Conflict Minerals and Supply Chain Compliance for 2018,” Crowe Horwath Webinar (April 2018)
- “Socially Responsible Investing 101,” California Alternative Investments Association Webinar (March 2018)
- “An Overview of the SASB Sustainability Disclosure Standards for Issuers and Investors,” Ropes & Gray CSR Webinar Series (March 2018)
- “Regulatory Developments: SEC, PCAOB and the Tax Cuts and Jobs Act,” Society for Corporate Governance Panel Discussion (February 2018)
- “Navigating the Legal Landscape,” Assent Compliance Supply Chain Summit Series Panel Discussion (February 2018)
- “Global Conflict Minerals,” Assent Compliance Supply Chain Summit Series Panel Discussion (February 2018)
- “Conflict Minerals: Tackling Your Next Form SD,” TheCorporateCounsel.Net Webinar (February 2018)
- “Regulatory Developments: SEC, PCAOB and the Tax Cuts and JOBS Act,” The Society for Corporate Governance, New York Chapter (February 2018)
- “The STRT & Comply Chain: Speaking with the US Department of Labor,” Social Responsibility Alliance Webinar (January 2018)
- “An Overview of the Responsible Minerals Initiative (RMI) for Supply Chain and Compliance Professionals,” Ropes & Gray CSR Webinar Series (January 2018)
- “EU Conflict Minerals Regulation – How Should Companies Prepare?” Responsible Minerals Initiative Webinar (December 2017)
- “Corporate Social Responsibility and the Supply Chain – An Overview for Pharmaceutical Companies,” Client Presentation (December 2017)
- “Climate Risk and Climate Change Disclosure – The Costs of Action and Inaction,” Climate Disclosure Standards Board Panel Discussion (December 2017)
- “Takeaways from the Enough Project's Consumer Electronics and Jewelry Retail Company Conflict Mineral Rankings,” Ropes & Gray CSR Webinar Series (December 2017)
- “Targeted Product Compliance & Corporate Social Responsibility,” Assent Compliance Supply Chain Summit Series (November 2017)
- “Legal Developments in Corporate Social Responsibility,” Fordham Law School (November 2017)
- “Socially Responsible Investing 101 for Asset Managers,” Ropes & Gray CSR Webinar Series (October 2017)
- “The SEC and Corporate Social Responsibility Disclosures - Where Might We Go From Here?” Ropes & Gray CSR Webinar Series (October 2017)
- “Conflict Minerals and Supply Chain Compliance,” Crowe Horwath Webinar (October 2017)
- “New Approaches for Detecting Human Trafficking in the Supply Chain,” RANE Network Webinar (October 2017)
- “Conflict Minerals Update – Where Do We Go From Here?” Refractory Metals Association Member Meeting (October 2017)
- “2 Degrees of Separation: Transition Risks for Oil & Gas in a Low Carbon World,” PRI Briefing Event (September 2017)
- “Global Conflict Minerals,” Assent Compliance Supply Chain Summit Series Panel Discussion (September 2017)
- “UK Modern Slavery Act,” Assent Compliance Supply Chain Summit Series Panel Discussion (September 2017)
- “HTRT Development Committee Update,” Assent Compliance Webinar (September 2017)
- “Targeted Product Compliance & Corporate Social Responsibility,” Assent Compliance Supply Chain Summit Series (September 2017)
- “Addressing Adverse Human Rights Impacts Connected to Product Misuse,” Advanced Supply Chain Compliance Series Webinar (September 2017)
- “The New EU Conflict Minerals Regulation,” Aerospace Industries Association Conflict Minerals Working Group (August 2017)
- “The State of Compliance 2017,” Assent Compliance Webinar (August 2017)
- “A Blueprint for Responsible Investment: The Next 10 Years of Responsible Investment,” PRI Briefing Event (June 2017)
- “5th Responsible Sourcing and Supply Chain Compliance: Pioneering Materials Management and Social Responsibility through Transformative Procurement, Transparency and Reporting Initiatives,” Marcus Evans Conference (June 2017)
- “Anti-Human Trafficking Compliance: Are you on track?,” Crowe Horwath Webinar (May 2017)
- “Human Trafficking Risk Template,” Assent Compliance Webinar (May 2017)
- “CR Summit: Building Blocks of Sustainability,” AIAG 2017 Corporate Responsibility Summit (April 2017)
- “Refugees in the Workplace – Compliance Strategies to Mitigate Modern Slavery Risk,” Intertek Forum (April 2017)
- “Human Rights Developments in US Corporate Law,” Fordham Law School CSR Leadership Course (April 2017)
- “Top 100 Conflict Minerals Influencer Panel,” Assent Compliance Webinar (April 2017)
- “An Overview of MSCI’s ESG Ratings for Issuer and Investors,” Ropes & Gray CSR Webinar Series (April 2017)
- “Joint Trade and Human Rights Panel,” Seafood Expo North America (March 2017)
- “The Sustainable Stock Exchanges Initiative – An Overview for Issuers and Investors,” Ropes & Gray CSR Webinar Series (March 2017)
- “Data Privacy and Security – Strategies for Mitigating Supply Chain Risks,” Ropes & Gray CSR Webinar Series (March 2017)
- “Conflict Minerals-Key updates and Preparing for your SEC Filing,” Crowe Horwath Webinar (March 2017)
- “Success Stories – Positive Impacts from Responsible Sourcing Programs,” UL Responsible Sourcing Summit (March 2017)
- “The Unintended Costs of Regional Responsible Sourcing Issues,” UL Responsible Sourcing Summit (March 2017)
- “Guidance on Alleged Executive Order for Dodd Frank Section 1502,” Assent Compliance Webinar (February 2017)
- “Human Trafficking and the FAR, Can I Certify?,” Deloitte Webinar (February 2017)
- “Conflict Minerals: Tackling Your Next Form SD,” Corporate Counsel Webinar (February 2017)
-
“An Overview of the New U.S. Action National Plan on Responsible Business Conduct,” Ropes & Gray CSR Webinar Series (February 2017)
-
“Meeting Emerging Anti-Human Trafficking Requirements,” Assent Compliance Supply Chain Summit Series (February 2017)
- “Anti-Human Trafficking Compliance: Leveraging Your Data,” Assent Compliance Webinar (January 2017)
- “An Overview of The Better Sourcing Program,” Ropes & Gray CSR Webinar Series (January 2017)
- “A CFSI Update for the 2016 Conflict Minerals Compliance Year,” Ropes & Gray CSR Webinar Series (December 2016)
- “An Introduction to the New European Partnership for Responsible Minerals,” Ropes & Gray CSR Webinar Series (November 2016)
- “Meeting Emerging Anti-Human Trafficking Compliance Requirements,” Assent Compliance Supply Chain Summit Series (November 2016)
- “Aligning Conflict Minerals Due Diligence Programs,” Ropes & Gray CSR Webinar Series (November 2016)
- “The Intersection of Public and Private Companies in Evolving Supply Chain Management Programs,” Sustainable Brands New Metrics Conference (November 2016)
- “Mining the Disclosures 2016: Investor and NGO Expectations on Conflict Minerals,” Responsible Sourcing Network Webinar (November 2016)
- “The GAO’s 2016 Report on the Conflict Minerals Rule,” Ropes & Gray CSR Webinar Series (November 2016)
- “CSR – Recent Development in U.S. Law,” Fordham Law School (November 2016)
- “Semiconductor Industry Roundtable and Dinner,” Ropes & Gray Roundtable (October 2016)
- “Meeting Emerging Anti-Human Trafficking Compliance Requirements,” Assent Compliance Supply Chain Summit Series (October 2016)
- “Key Points to Know about the UK Modern Slavery Act,” Apollo Webinar (October 2016)
- “Human Trafficking and Migrant Labor Session,” UL Responsible Sourcing Summit (October 2016)
- “Conflict Minerals in 2016 – Are you on Track?” Crowe Horwath Webinar (October 2016)
- “Overview, Potential Impact and Update on EU Conflict Minerals Regulation,” Refractory Metals Association Meeting (October 2016)
- “Hot Topics in Disclosure and Capital Raising,” NYSSCPA SEC Conference (October 2016)
- “The Evolving World of CSR and ESG – Implications for Global Businesses and Investors” Ropes & Gray roundtable co-hosted with FTI Consulting, Hong Kong (September 2016)
- “Conflict Minerals Overview and Update,” Outdoor Industry Association Sustainability Working Group Sustainability Insights Conference (August 2016)
- “Anti-Human Trafficking and Conflict Minerals – Current Topics,” Silicon Valley Conflict Minerals and Human Rights Forum (August 2016)
- “From Fringe to Mainstream: The Emergence of Conflict Minerals and Human Trafficking Legislation,” Assent Compliance Webinar (July 2016)
- “Tying Together the Corporate Social Responsibility Framework to Comply with International and Foreign Requirements,” Marcus Evans 4th Annual Conflict Minerals Compliance and Supply Chain Transparency Conference Panel Discussion (June 2016)
- “Conflict Minerals in 2016: Benchmarks, Trends and Solutions,” Marcus Evans 4th Annual Conflict Minerals Compliance and Supply Chain Transparency Conference Panel Discussion (June 2016)
- “Conflict Minerals Reporting : A Deeper Look Into RY 2015 SEC Filings,” Source Intelligence Webinar (June 2016)
- “CSR Leadership Course,” Fordham Law School (June 2016)
- “Metals and Minerals: A Conflicting Industry,” International Precious Metals Institute Conference (June 2016)
- “6th Annual Teaching Business and Human Rights Workshop,” Columbia Law School Panel Session (May 2016)
- “RoHS, REACH, Conflict Minerals: Building Cohesive Strategies for Product Compliance,” MetricStream Webinar (May 2016)
- “Best Practices to Prevent, Detect and Investigate Third Party Risk,” Thomson Reuters Financial & Risk Summit Panel Session (May 2016)
- “The OECD and Supply Chain Compliance-Much More than Conflict Minerals,” Ropes & Gray CSR Webinar Series (May 2016)
- “Best Practices to Prevent, Detect and Investigate Third Party Risk,” Thomson Reuters Financial & Risk Summit Panel Session (May 2016)
- “Human Trafficking – the Next Frontier in Compliance,” AIAG Corporate Responsibility Summit (April 2016)
- “Syrian Refugee Labor in Turkish Garment Supply Chain-Human Rights and Compliance Implications for Retailers and Manufacturers,” Ropes & Gray CSR Webinar Series (April 2016)
- “Anti-Human Trafficking and the Supply Chain: Efficient, Effective Compliance in Today’s Rapidly Changing Environment,” Ropes & Gray Roundtable (April 2016)
- “Conflict Minerals Update,” Aerospace Industries Association Conflict Minerals Working Group Spring Meeting (April 2016)
- “Following the Leaders: How Top Influencers Run Their Conflict Minerals Programs,” Assent Compliance Webinar (April 2016)
- “CSR – Recent Development in U.S. Law,” Fordham Law School (March 2016)
- “The Global Evolution of Conflict Mineral Regulations: How to Establish a Worldwide Compliance Program,” Source Intelligence (March 2016)
- “Ranking Human Trafficking Disclosures – How Would Your Company Rank?,” Ropes & Gray CSR Webinar Series (March 2016)
- “Understanding Laws and Regulations Affecting Responsible Sourcing,” UL’s Responsible Sourcing Summit (March 2016)
- “Is the Cobalt in Your Products Contributing to Human Rights Abuses,” CSR Webinar Series (March 2016)
- “Conflict Minerals – Best Practices and Planning for Your Filing,” Crowe Horwath Webinar (March 2016)
- “Conflict Minerals: Tackling Your Next Form SD,” TheCorporateCounsel.net (February 2016)
- “Anti-Human Trafficking & Child Labor: Everything Your Company Needs to Know,” Assent Compliance Webinar (February 2016)
- “Conflict Minerals Update,” NRF International Trade Advisory Committee/Strategic Supply Chain Council (January 2016)
Awards
- Legal 500 – U.S. Green Ambassador
- Legalweek Leaders in Tech Law Awards “ESG Enablement Through Technology” (2024)
- Legal 500 – Green Guide (2023)
- Chambers Global (2018-2024)
- The National Law Journal “ESG and Community Impact Leaders Award” (2022)
- Legal 500 (2017)
- New York Super Lawyers (2009-2024)
- New York Super Lawyers “Top 100 List” (2012-2018)
Memberships & Affiliations
- SASB Sector Advisory Group
- Social Responsibility Alliance Development Committee
- Army Heritage Center Foundation, Board of Directors
Areas of Practice
Additional Publications
Prior to joining Ropes & Gray:
- “Regulation Fair Disclosure,” Insider Trading Law and Compliance Answer Book (Practising Law Institute) (2011-2016)
- “Conflict Minerals Reporting: A Comprehensive Guide to Understanding Your Supply Chain,” Source Intelligence (2015 Best Practices)
- “Court Denies Petitions for Rehearing in Conflict Minerals Rules Case (But the Litigation Isn't Over Yet),” (November 10, 2015)
- “United Kingdom Publishes Modern Slavery Act Guidance: An Overview, Selected Next Steps and Takeaways,” (October 30, 2015)
- “Petitions Filed to Overturn Decision in Conflict Minerals Rule Litigation,” AIAG Newsletter (October 6, 2015)
- Contributor, “To Audit or Not to Audit? Learn If a Conflict Minerals IPSA Is Right for You,” (August 2015)
- “D.C. Circuit Panel Reaffirms Conflict Minerals Rule Decision,” (August 18, 2015); republished in Diamond District Monthly (October 2015)
- “New U.K. Supply Chain Disclosures Apply to U.S. Companies,” Law360 (August 6, 2015)
- “New Disclosure Requirements Relating to Human Trafficking in the Supply Chain to Take Effect in October 2015,” (August 3, 2015)
- Advisory Panel, “Dodd-Frank Section 1502- RY2014 Filing Evaluation,” The Payson Center for International Development of Tulane University Law School (July 27, 2015)
- “European Parliament Votes in Favor of Mandatory Conflict Minerals Compliance Requirements for Downstream Companies,” (May 20, 2015)
- “Complying with the SEC’s New Conflict Minerals Rule: An Overview for Compliance Professionals,” The Complete Compliance and Ethics Manual (Society of Corporate Compliance and Ethics) (2013-2015)
- “New FAR Rule Requires Federal Contractors and Subcontractors to Implement Compliance Programs Relating to Human Trafficking, Including Due Diligence,” (February 6, 2015)
- “AICPA Issues Additional Conflict Minerals Audit Guidance: An Overview and Suggested Action Items for Registrants,” (January 29, 2015)
- “D.C. Court of Appeals Grants Rehearing of Conflict Minerals Rule Decision,” (November 18, 2014); republished in Westlaw Journal- Securities Litigation & Regulation (January 8, 2015)
- “Conflict Minerals Reporting: A Review of Calendar Year 2013 Filings and Recommendations for Calendar Year 2014 Compliance,” (September 2014); republished in Law360 (October 2014)
- “Additional Supply Chain Disclosures by U.S. Public Companies Proposed,” (July 8, 2014); republished in Westlaw Journal-Securities Litigation & Regulation (August 2014)
- “Breaking News – Motion to Stay Conflict Minerals Rule Denied – June 2 Filing Deadline Remains In Effect,” (May 14, 2014)
- “SEC Publishes Statement on Conflict Minerals Reporting - Important New Guidance on Timing, Product Labeling and Audit Requirements,” (April 30, 2014)
- “Appellate Court Issues Opinion on Conflict Minerals Rule – Portions of District Court Decision Affirmed and Portions Reversed,” (April 14, 2014)
- “SEC Releases Additional Conflict Minerals FAQs – An Overview for Issuers and Audit Professionals,” (April 8, 2014)
- “European Commission Proposes EU Conflict Minerals Legislation – Takeaways for U.S. Registrants and Other Companies,” (March 5, 2014)
- “Preparing for Conflict Minerals Rule Compliance: Company Action Items Checklist,” Practical Law (February 2014)
- “The AICPA's Recent Conflict Minerals Guidance – An Overview for Public Companies,” (January 29, 2014)
- “Conflict Minerals Compliance: Observations and Recommendations for 2014 and Beyond,” (January 22, 2014); republished in Main Justice (January 27, 2014) and Practical Law (February 2014)
- “Rule of Law: The New Conflict Minerals Rule Affects Mining and Metals Companies Across the World,” Mining, People and the Environment (October 2013)
- “SEC Proposes Pay Ratio Disclosure Rule,” (October 11, 2013)
- “Conflict Minerals Rule Decision Appealed – What Does This Mean for Your Compliance Program?” (August 22, 2013)
- “General Solicitation and General Advertising to be Permitted in Private Placements Starting September 23,” (August 13, 2013)
- “Court Upholds Conflict Minerals Rule – Is Your Compliance Program on Track?” (July 23, 2013)
- “SEC Publishes Conflict Minerals FAQs,” (May 31, 2013)
- “Is Conflict Minerals Regulation Going International? New Developments in Canada and the EU,” (April 9, 2013)
- “Ramping Up Conflict Minerals Rule Compliance – A Near-Term Checklist for Public and Private Companies,” (January 16, 2013)
- “Conflict Minerals Rule Challenged in Court – What Should Public and Private Companies Do Now? Near-Term Action Items in Today's Uncertain Regulatory Environment,” (November 9, 2012)
- “SEC's Conflict Minerals Rule Challenged in Court,” (October 22, 2012)
- “Conflict Minerals Rule Adopted: Compliance Considerations for Privately-Owned Companies in the Jewelry Industry,” Diamond District Monthly (October 2012)
- “What IR Departments Need to Know About the SEC's Conflict Minerals Rule,” IR Magazine (September 2012)
- “Conflict Minerals Diligence” and “Preparing for Conflict Minerals Rule Compliance: Company Action Items Checklist,” Practical Law (September 2012)
- “SEC Adopts Final Conflict Minerals Rule: An Overview of the Rule, Action Items and Resources for Compliance,” (August 27, 2012)
- “A Conflict Minerals Rule at Last? Resources to Prepare for Compliance,” (July 3, 2012)
- “SEC Adopts Compensation Committee and Adviser Independence Rules,” (June 28, 2012)
- “An Overview of the US Jobs Act for OTCQX International Issuers,” (May 11, 2012)
- “Getting Quoted on OTCQX International: An Overview for Non-US Companies,” (April 16, 2012)
- “JOBS Act Signed into Law: Key Provisions Affecting Public Companies, Private Capital Raises and Broker-Dealers and Other Intermediaries,” (April 9, 2012)
- “The SEC's Conflict Minerals Rule: An Overview for Companies in the Jewelry Industry,” Diamond District Monthly (April 2012)
- Contributor, “Ask the Expert: What Will be 2012’s Biggest Test?” Inside Investor Relations (January 6, 2012)
- “Conflict Minerals Due Diligence” and “Preparing for Conflict Minerals Compliance: Company Action Items Checklist,” Practical Law (November 2011)
- “SEC Approves NASDAQ's BX Venture Market — a New Listing Option for Smaller Companies,” Corporate Live Wire (November 14, 2011)
- “SEC Approves NASDAQ's BX Venture Market — A New Listing Option for Smaller Companies,” VC Experts (October 12, 2011)
- “The Votes Are In on ‘Say on Pay’ in 2011,” Financial Executive (September 2011)
- “Proxy Access in 2012 and Beyond — The Good, the Bad and the Uncertain,” (September 8, 2011)
- “The Votes Are In — Deconstructing the 2011 Say on Pay Vote,” The Harvard Law School Forum on Corporate Governance and Financial Regulation (July 29, 2011)
- “A Closer Look at Negative Say-on-Pay Votes during the 2011 Proxy Season,” The Conference Board (July 2011)
- “The Votes Are In — Deconstructing the 2011 Say on Pay Vote,” (June 28, 2011)
- “SEC Approves NASDAQ’s BX Venture Market — a New Listing Option for Smaller Companies,” (May 24, 2011)
- “Early Results from Say on Pay,” The Harvard Law School Forum on Corporate Governance and Financial Regulation (April 17, 2011)
- “‘Say on Pay’ at 30 Days — Observations from the First Month,” (February 25, 2011)
- “What Will be the Biggest Change for IROs of US-Listed Companies in the Wake of Dodd-Frank?” IR Magazine (January 2011)
- “SEC Adopts Final Advisory Vote Rules,” (January 27, 2011)
- “‘Say on Pay’ and the 2011 Annual Meeting,” (January 11, 2011)
- “The Top Five Public Company Compliance Issues Not on Your Radar Screen…and That Should Be,” Corporate Compliance Insights (November 19, 2010)
- “SEC Stays Effectiveness of New Proxy Access Rules,” (October 8, 2010)
- “SEC Provides Interpretive Guidance on Liquidity and Capital Resources Disclosure,” (October 5, 2010)
- “Effective Date of Proxy Access Rules Set,” (September 16, 2010)
- “Proxy Access Q&A for Public Companies,” (September 13, 2010)
- “Dodd-Frank Ushers in New Requirements for Public Companies and Their Boards,” The Corporate Counselor, Volume 25, No. 5 (September 5, 2010)
- “SEC Increases the Focus on Board Practices,” The Corporate Board (March/April 2010)
- “NYSE Extends Reduced Market Cap and Stockholders’ Equity Continued Listing Requirements; Proposes Making Reduction Permanent,” (March 2, 2010)
- “SEC Adds Flexibility to the Proxy Process,” (March 1, 2010)
- “SEC Issues Guidance on Climate Change-Related Disclosure by Public Companies,” (February 8, 2010)
- “Keeping Current: Securities — Are Your Regulation FD Compliance Procedures Sufficient?” Business Law Today (January/February 2010)
- “Not Business as Usual for IR: The New Year Rings in New Responsibilities,” IR Alert (January 14, 2010)
- “SEC Amends Disclosure Requirements for the 2010 Reporting Season,” (December 17, 2009)
- “Nasdaq Modifies Advance Notification Requirement,” (December 9, 2009)
- “Are Your Regulation FD Compliance Procedures Sufficient?” (October 8, 2009)
- “NYSE Reduces Public Float Listing Requirement and Amends Listing Fees,” (September 23, 2009)
- “NYSE Reduces Minimum Global Market Capitalization Requirement and Extends Suspension of Minimum Share Price Requirement,” (July 6, 2009)
- “NYSE Rule 452 Amended to Eliminate Broker Discretionary Voting In Uncontested Elections,” (July 2, 2009)
- “NYSE Changes Its Immediate Release Policy,” (May 7, 2009)
- “XBRL Adoption Requires Form Changes in Upcoming 10-Q and 10-K Filings,” (April 23, 2009)
- “Nasdaq Continues Suspension of Listing Requirements Through July 19, 2009,” (March 31, 2009)
- “Making Lemonade from Lemons: Issuer Bond Repurchases,” (Spring 2009)
- “NYSE Provides Temporary Relief from Minimum Global Market Capitalization Requirement,” (January 28, 2009)
- “Drafting the 2009 CD&A,” (January 12, 2009)
- “Nasdaq Extends Suspension of Listing Requirements,” (December 30, 2008)
- “XBRL: What You Need to Know Now,” (December 18, 2008)
- “Are You Ready for Electronic Proxy Delivery?” (December 15, 2008)
- “Nasdaq and NYSE Continued Listing Requirements — A Primer for Turbulent Times,” (December 8, 2008)
- “NYSE and Nasdaq Modify Director Independence Rules,” (October 9, 2008)
- “SEC Provides New Guidance on the Use of Company Websites,” (September 26, 2008)
- “New Nasdaq Rule Allows SPAC Listings,” (September 4, 2008)
- “SEC Approves One-Year Extension of SOX Section 404(b) Compliance Date for Non-Accelerated Filers,” (June 26, 2008)
- “New NYSE Rule Allows SPACs to List on ‘Big Board’,” (June 18, 2008)
- “SEC Proposes Mandatory XBRL Tagging,” (May 30, 2008)
- “SEC Sets Fee Rate for Fiscal Year 2009,” (May 21, 2008)
- “Time To Add SPACs To Your Repertoire?” Buyouts (March 31, 2008)
- “SPACs and the Alternative Asset Manager — Not Your Garden Variety SPAC,” (February 29, 2008)
- “SEC Introduces New Reporting Requirements for Smaller Companies,” (February 28, 2008)
- “SEC Provides Guidance on MD&A Disclosure for Off-Balance Sheet Entities,” (January 22, 2008)
- “SEC Expands Eligibility for Primary Offerings on Forms S-3 and F-3,” (January 17, 2008)
- “Are You Ready for Electronic Proxy Delivery?” December 13, 2007)
- “SEC Issues Additional Guidance Under 2006 Executive Compensation Disclosure Rules,” (November 12, 2007)
- “New Fairness Opinion Rule Approved by the SEC,” (November 8, 2007)
- Author and co-author of numerous other articles pertaining to U.S. and cross-border legal matters, including articles pertaining to U.S. securities laws, mergers and acquisitions, venture capital and general corporate matters.
Additional Presentations
Prior to joining Ropes & Gray:
- “Building a Comprehensive Third-Party Risk Management Program,” (October 2015)*
- NYSSCPA Public Company Accounting and Auditing Conference (October 2014)*
- NTMA 2014 Fall Conference (October 2014)*
- SABR 2nd Institutional Investor Best Ideas Conference (October 2014)*
- “The JOBS Act Roll-Out Continues: Capitalizing on Crowdfunding and Reg A+” and “The SEC’s Proposed Pay Ratio Disclosure Rule,” (January 2014)
- Conflict Mineral & Ethical Sourcing Workshop (December 2015)
- “An Analysis of Corporate Compliance with the California Transparency in Supply Chains Act,” Advanced Conflict Minerals Rule Compliance Series Webinar (November 2015)
- “Building a Comprehensive Third-Party Risk Management Program,” (October 2015)
- “Investor and NGO Expectations in Conflict Minerals Reporting and Compliance — A Discussion of the 2015 RSN Report,” Advanced Conflict Minerals Rule Compliance Series Webinar (October 2015)
- “Legal and SEC Enforcement Update,” Manufacturers Alliance for Productivity and Innovation Conflict Minerals Forum (October 2015)
- Medical Device/Pharma Conflict Minerals Industry Group Webinar (September 2015)
- European Union Conflict Minerals Rule: Preparing for Compliance Webinar (September 2015)
- “Human Trafficking in the Supply Chain – Complying with Federal, State and Foreign Requirements,” TRACE International Webinar (August 2015)
- Conflict Mineral Benchmarking Study 2015 Webinar (August 2015)
- To Audit or Not to Audit: Learn If a Conflict Minerals IPSA Is Right for Your Company Webinar (August 2015)
- “Revision 4.01 of the Conflict Minerals Reporting Template — What It Contains and How to Fill It Out,” Advanced Conflict Minerals Rule Compliance Series Webinar (June 2015)
- “Gearing Up for the 2015 Compliance Season,” Marcus Evans 3rd Conflict Minerals Reporting and Supply Chain Transparency Conference (June 2015)
- Conflict Minerals and Human Rights: The Dodd-Frank Act’s Reforms and Reporting Requirements, NYCBA Seminar (June 2015)
- “Women’s Empowerment, Climate Change and Human Trafficking,” Fordham University School of Law and the Leitner Center for International Law 2nd Annual Corporate Social Responsibility Leadership Course (June 2015)
- “AIAG Update: Supply Chain and Smelter Due Diligence,” Advanced Conflict Minerals Rule Compliance Series Webinar (June 2015)
- “Meeting Investor and Stakeholder Expectations Under the Conflict Minerals Rule,” Advanced Conflict Minerals Rule Compliance Series Webinar (May 2015)
- “Understanding Federal Acquisition Regulations and Human Trafficking,” Assent Compliance Webinar (April 2015)
- “Conflict Minerals: Compliance and Disclosure in an Environment of Rising Expectations,” Crowe Horwath Webinar (April 2015)
- AIA Conflict Minerals Working Group (April 2015)
- “The Conflict-Free Sourcing Initiative — A 2015 Update,” Advanced Conflict Minerals Rule Compliance Series Webinar (March 2015)
- Underwriters Laboratories Inc. Responsible Sourcing Summit (March 2015)
- “An Overview of the Fairtrade Standard for Gold and Precious Metals,” Advanced Conflict Minerals Rule Compliance Series Webinar (February 2015)
- “Conflict Minerals: Tackling Your Next Form SD,” TheCorporateCounsel.net Webinar (February 2015)
- “An Update on Conflict Gold,” Advanced Conflict Minerals Rule Compliance Series Webinar (January 2015)
- “The Conflict Minerals Report Audit — From Planning Through Completion,” Advanced Conflict Minerals Rule Compliance Series Webinar (December 2014)
- “The Conflict Minerals Rule: An Alternative View From the Field,” Advanced Conflict Minerals Rule Compliance Series Webinar (October 2014)
- “SEC’s Conflict Minerals Rule: What We Learned from 2013 and What Happens Next,” PLI Webinar (October 2014)
- AIA Conflict Minerals Working Group (October 2014)
- “The Findings of Tulane University’s DF S1502 Post-Filing Survey: Take-Aways for Issuers,” Advanced Conflict Minerals Rule Compliance Series Webinar (October 2014)
- “Transparency, Reporting and Supply Chain Due Diligence,” 14th Conflict-Free Sourcing Initiative Workshop (September 2014)
- “Conflict Minerals: Observations from the First Year’s Reports and Considerations for Next Year,” Practical Law Webinar (September 2014)
- “Conflict Minerals,” ISM Risk Management Summit (July 2014)
- “Integrating OFAC and FCPA Compliance with Your Conflict Minerals Compliance Program — Strategies for Mitigating Risk,” Advanced Conflict Minerals Rule Compliance Series Webinar (July 2014)
- “The First Year of Compliance: Lessons Learned and Recommendations for 2014,” Marcus Evans 2nd Conflict Minerals Reporting and Supply Chain Transparency Conference (June 2014)
- “The EU’s Responsible Trading Strategy for Minerals from Conflict Zones,” Advanced Conflict Minerals Rule Compliance Series Webinar (June 2014)
- “Conflict Minerals Management: The Court’s Ruling, Your Filing Obligations and Planning Ahead,” Marcus Evans Webinar (May 2014)
- “Conflict Minerals,” ISM International Supply Management Conference (May 2014)
- “Supplier Governance: Integrating Supplier Governance, Sustainability, and Corporate Social Responsibility (CSR) Programs,” GRC Summit (April 2014)
- “An Update on the Conflict-Free Sourcing Initiative of the EICC and GeSI,” Advanced Conflict Minerals Rule Compliance Series Webinar (April 2014)
- “Conflict Minerals,” FMI 2014 Legal Conference (April 2014)
- “The New Conflict Minerals Reporting Template, Version 3.0,” Advanced Conflict Minerals Rule Compliance Series Webinar (April 2014)
- “IPC's New Conflict Minerals Data Exchange Standard,” Advanced Conflict Minerals Rule Compliance Series Webinar (March 2014)
- “Conflict Minerals Compliance: Observations and Recommendations for 2014 and Beyond,” Conflict Minerals Compliance: Is Your Organization Ready? (February 2014)
- “Are You Conflict Minerals Compliance Challenged? Strategies for Getting It Right in 2014,” Compliance Week Webcast Forum: Conflict Minerals (February 2014 )
- “Is Your Tin, Tantalum and Tungsten Conflict Free? An Overview of the iTSCi Conflict Minerals Project,” Advanced Conflict Minerals Rule Compliance Series Webinar (February 2014)
- 45. “Conflict Minerals, the JOBS Act (Developments One Year Later), and Other Current SEC Developments Affecting Accounting Firms in 2013, 2014 and Beyond,” NYSSCPA Annual SEC Conference (January 2014)
- “Conflict Minerals: Meeting Downstream Expectations,” Metal Events Limited 2nd International Tin & Tantalum Seminar (December 2013)
- Conflict Minerals Filing Challenges: How to Prepare Your Report & Streamline Your Compliance Program Webinar (December 2013)
- “Dodd-Frank Section 1502: Perspectives From the U.S. GAO,” Advanced Conflict Minerals Rule Compliance Series Webinar (November 2013)
- “Supplier Relationship Management: Successful Communication and Training Strategies for Ensuring Supplier Commitment to Conflict Mineral Compliance,” Momentum Event Group Conflict Minerals and the Transparent Supply Chain (November 2013)
- “Conflict Minerals: Practical Approaches to Compliance,” Baker Tilly Webinar (October 2013)
- “Expectations for Companies’ Conflict Minerals Reporting — The Recent Enough Project and Responsible Sourcing Network White Paper,” Advanced Conflict Minerals Rule Compliance Series Webinar (October 2013)
- “Conflict Minerals — Now What?” The Conference Board Council of Senior International Attorneys (October 2013)
- “Downstream Due Diligence: Practical Application of the OECD Framework,” Advanced Conflict Minerals Rule Compliance Series Webinar (October 2013)
- The Cost of Conflict Minerals: Human Rights and Corporate Compliance, NYCBA Seminar (October 2013)
- “Conflict Minerals: What’s Next for Retailers and Their Suppliers?” RILA Retail Sustainability Conference (October 2013)
- “Brave New World? — Private Placements and General Solicitations,” (October 2013)
- “New Developments and Other Topics,” AIAG Industry Briefing: Preparing for Conflict Minerals Reporting (September 2013)
- “The Public-Private Alliance for Responsible Minerals Trade — An Overview for Downstream Companies,” Advanced Conflict Minerals Rule Compliance Series Webinar (August 2013)
- “Auditing and Filing Mechanics,” Global Conflict Minerals Symposium (August 2013)
- “Conflict Minerals Program Management – Counting Backwards from Preparing Your First Report,” (July 2013)
- “The World Gold Council’s Conflict-Free Gold Standard: A Primer for Downstream and Upstream Companies,” Advanced Conflict Minerals Rule Compliance Series Webinar (July 2013)
- “Conflict Minerals: Demystifying Form SD,” (July 2013)
- “The JOBS Act Turns One – Happy Anniversary?” and “Enhancing Board Performance Through Effective Evaluations,” (July 2013)
- Microcap Best Ideas Conference (June 2013)
- “Best Practices for Conflict Minerals Rule Compliance — Where Are Companies Now and Where Should They be Going?” Marcus Evans Conflict Minerals Compliance & Disclosure — Mid-Point Check In: Determining if Your Organization’s Conflict Minerals Program is on Track to Meet SEC Compliance Expectations (June 2013)
- “Upstream Conflict Free Sourcing Initiatives: What You Need to Know as a Downstream Company,” Advanced Conflict Minerals Rule Compliance Series Webinar (June 2013)
- IPC Conflict Minerals Update: Developing Industry Practices (June 2013)
- “Section 1502 of the Dodd-Frank Rule: Steps of Conflict Minerals” and “What Needs To Be Reported to the SEC,” Tetra Tech Conflict Minerals Workshop (May 2013)
- “Ensuring Your Supply Chain is Conflict Mineral Free,” NRF Global Supply Chain Summit (May 2013)
- “Ask the Expert: The Special Case of Gold,” MetalMiner Conflict Minerals EDGE (May 2013)
- “Current Status of JOBS Act and Crowdfunding,” Marcum 2nd Annual MicroCap Conference (May 2013)
- “Conflict Minerals: Meeting NGO and Investor Expectations,” Advanced Conflict Minerals Rule Compliance Series Webinar (April 2013)
- “Conflict Minerals – How Are Companies Coordinating a Response,” AIAG 2013 Corporate Responsibility Summit (April 2013)
- “How to Validate Supplier Responses to Conflict Mineral Enquiries,” Underwriters Laboratories Inc. Responsible Sourcing Summit (April 2013)
- Conflict Minerals: Industry Veterans Speak Out on the Changing Requirements of Due Diligence Webinar (April 2013)
- “Are You Really Ready for the Conflict Minerals Rule? Strategies for Creating an Effective Compliance Program,” (April 2013)
- “IPC’s Conflict Minerals Data Exchange Standard,” Advanced Conflict Minerals Rule Compliance Series Webinar (March 2013)
- “IPC’s Conflict Minerals Due Diligence Guide,” Advanced Conflict Minerals Rule Compliance Series Webinar (March 2013)
- “Do Your Social Media Policies Violate Regulation FD?” and “The OECD's Final Downstream Pilot Program Report — Implications for Conflict Minerals Rule Compliance,” (February 2013)
- “Action Items for Developing the Conflict Minerals Compliance Program,” (February 2013)
- “Industry Solutions for Conflict Minerals Rule Compliance — AIAG Speaks,” Advanced Conflict Minerals Rule Compliance Series Webinar (February 2013)
- “OECD Due Diligence Guidance and Final Report on Pilot Implementation,” Advanced Conflict Minerals Rule Compliance Series Webinar (January 2013)
- "Conflict Minerals Compliance for Gas and Electric Power Supply Chains," EUCI Webinar (December 2012)
- “Establishing an ATM Program,” “Public Company Regulation in 2013 — What to Expect Now That the Election Is Over” and “OTCQX Update,” (December 2012)
- “Middle Market M&A 2012 Wrap-Up & 2013 Outlook,” Merrill DataSite Webinar (December 2012)
- “U.S. Capital Markets,” IR Magazine's Think Tank — Canada 2012 (October 2012)
- “Executive Briefing: Regulation, Governance and Election Day Surprises,” IR Magazine's Think Tank — East Coast (October 2012)
- “Conflict Minerals Disclosure — Broader Than You Think!” (October 2012)
- “The SEC's New Conflict Minerals Rule — What You Need to Know Now,” The Conference Board Council of Senior International Attorneys Meeting, New York (October 2012)
- “An Overview of the EICC and GeSI Conflict Minerals Reporting Template & Dashboard and Conflict Free Smelter Program,” Advanced Conflict Minerals Rule Compliance Series Webinar (October 2012)
- “The SEC's New Conflict Minerals Rule — What Public and Private Companies Need to Know Now,” West LegalEdcenter Webinar (September 2012)
- “The Conflict Minerals Rule Is Here! What You Need to Know Now,” (September 2012)
- “Capitalizing on the New, More Liberal Private Placement Rules — An Overview of the Proposed Rules for Issuers and Investment Banks,” (September 2012)
- “Conflict Minerals: Understanding the Final Rules and Preparing to Comply,” Practical Law Company Webinar (September 2012)
- “The JOBS Act and Other SEC Developments Affecting Accounting Firms,” Foundation for Accounting Education's Annual SEC Conference — What You Need to Know to Comply with New Reporting Requirements (September 2012)
- “The Impact of the 2012 JOBS Act on Small-Cap Finance,” Marcum MicroCap Conference, New York (June 2012)
- “An Overview of the JOBS Act,” (May-June 2012)
- “Capitalizing on the New JOBS Act” and “Establishing an OTCQX Listing,” (May 2012)
- “A Dual Listing’s Impact on Liquidity,” du Pasquier & Co, Inc. Natural Resources Symposium (April 2012)
- “An Overview of the OTCQX Marketplace,” (March 2012)
- “Preparing for Conflict Minerals Rule Compliance,” (February 2012)
- “Conducting Effective Board Evaluations,” “Cutting Edge Capital Markets Structures” and “Trends in D&O Coverage,” (January 2012)
- “Staying Compliant: Responding to New Whistleblower Rules,” DealFlow Media The Activist Investor Conference 2012
- “Inside the Boardroom: Practical Guidance on Serving Your Board,” OCEG Webinar
- “Disclosure Policies: From Channel-Checkers to Employee Bloggers,” IR Magazine East Coast Think Tank, New York
- “Q&A: The 2012 Annual Meeting Season — Lessons Learned From 2011 and What to Expect Next Year,” IR Magazine East Coast Think Tank, New York
- “Optimizing Your Board Interactions,” Thomson Reuters Accelus Customer Summit, New York
- “Preparing for the 2012 Annual Meeting Season — Meeting and Managing Investor Expectations”
- “The OTC Marketplace: An Overview for Issuers and Their Advisers,” New York
- “You’ve Been Hacked! What Do You Say and Do Now?” New York
- “NASDAQ OMX’s New BX Venture Market: An Overview for Issuers and Their Advisers,” New York
- “Implementing Dodd-Frank: Preparing Your Corporate Clients for Effective Government Compliance,” The National Law Journal and LegalTimes Breakfast Series, Washington, D.C.
- “Recent SEC Enforcement Actions Against Independent Directors — Are You and Your Company at Risk?”
- “The Next Wave in Dodd-Frank Rule-Making”
- “Sources of Capital: Capital Markets, Registered Funds and Seeding Arrangements,” 20th Annual Private Investment Funds Seminar, New York
- “Say on Pay in 2011”
- “The Top Five Public Company Compliance Issues Not on Your Radar Screen … and That Should Be”
- “Are You Reg. FD Compliant?”
- “Disclosure Update: How, When and Where You Communicate Your Messages,” IR Magazine East Coast Think Tank, New York
- “Governance Trends and Regulatory Risk: What’s on Your Radar?” IR Magazine East Coast Think Tank, New York
- Rosen Seymour Shapss Martin & Company LLP, New York
- "What Venture Capitalists Need to Know About IPO Laws, Regulations and Procedures,” ExecSense Webinar
- EiserAmper LLP’s SEC and Capital Markets Update, New York
- “It’s Here! Preparing for Proxy Access,” New York
- “The Dodd-Frank “To Do” List for Public Companies,” New York
- “NASDAQ’s Proposed BX Market — A Brief Overview,” New York
- “House and Senate Financial Reform Bills — Implication for Public Companies,” New York
- “Google Shakes Up IR Practices — Should You Follow Suit?” New York
- “Are Your Forward-Looking Statement Disclaimers Up to Snuff? Best Practices in Light of Recent Second Circuit Case Law,” New York
- “2008 Securities Law Update,” Think Big! Small- and Mid-Cap Public Company Forum, New York
- “Permanent Capital Investment Vehicles,” Cutting Edge Alternative Asset Management Deals Seminar, New York
- “The Registration Process,” Going Public, New York
- “Getting Started: The SEC and the Review Process,” Securities Regulation and Enforcement, New York
- “Registration Statements,” SEC Accounting and Financial Reporting Course, New York
- “Introduction to the Deal: What's Involved in a Securities Offering?” New York City Bar Association, New York
- “Disclosure of Material Developments to the Market,” New York City Bar Association, New York
- “Complying with Regulation FD,” New York
- "Sarbanes-Oxley: An Overview,” Association of the Bar of the City of New York, New York
- “Records Retention and the Public Company,” Document Retention and Destruction Conference, Lorman Educational Services, New York
- “Developments in Online Investor Relations,” The Internet and Securities Laws Current Issues and Trends Conference, New York
- “The Forms and Regulations of the Integrated Disclosure System,” SEC Reporting Essentials for Canadian Companies Conference, Toronto, Canada
- “Global Securities Offerings by Mexican Issuers,” Mexico City and Monterrey, Mexico
- “Enabling Efficiency in Finance,” Wharton Finance Conference, Philadelphia
- “General Overview of SPE's,” Update on Special Purpose Entities: Complying With New Disclosure Requirements, Boston
- “Sexy Legal Issues for the Corporate Finance Professional,” New York
- “Legal Due Diligence and Contractual Provisions to Mitigate Risk in Domestic and International Transactions,” Complete Due Diligence — Surviving in the Global Environment of Acquisitions, Strategic Partnerships and Key Supplier Alliances Conference, New York
- “Reducing Country Risk Through Precise Legal Guidance,” Political Risk Management for the Power, Oil and Gas Industries Conference, New York
- “Exits Through Strategic Sales vs. Exits Through Public Markets,” Latin America Private Equity Summit, Miami
- “Cross-Border Mergers and Acquisitions,” United States/Africa Judicial and Legal Exchange Program, Washington, D.C.
- “Exploring International Opportunities in the LBO Market,” Leveraged Buy-Outs Seminar, New York
- “Structuring, Negotiating and Papering Strategic Relationships,” New York
- “How Technologies Become Businesses,” Naval Research and Development Conference, Washington, D.C.
- “Starting Your Own Company - Critical Issues That Every Internet and New Media Start-up Should Consider,” New York
- “Starting a Financial Services Company,” The Harvard Business School Club of New York, New York
- “Rebuilding from Dot Bombs — Success for Startups,” New York
- “Venture Capital Profile Series,” Deloitte & Touche, New York
- “Standing Out in a Crowd: Raising Capital in Tough Times,” New York
- “Attracting and Retaining Top Talent,” New York
- “The ABC's of Finding, Compensating and Keeping Talent,” New York
- “Critical Success Factors for CEOs: Strategies for Building Your Top Line,” New York
- “Attracting Foreign Investment Capital,” Southern African Development Community Consultative Conference on Trade and Investment, Johannesburg, South Africa
Additional News
- “Ben & Jerry’s Israel Fight Carries ESG Lesson for Deal Makers,” Bloomberg Law (August 2022)
- “Five Steps to a Successful ESG Stakeholder Assessment,” Corporate Board Member Magazine (June 2022)
- “The SEC’s Climate Challenge,” Corporate Board Member Magazine (June 2022)
- “ESG Funds Provision Hinges on Another (Controversial) Proposition,” FT Ignites (June 2022)
- “Winners and Losers at This Year’s AGMs,” Financial Times (May 2022)
- “We Put These ESG Lawyers to the Test,” Reuters (July 2021)
- “More companies are Citing Water Scarcity as a Financial Risk in Regulatory Filings,” CBS News (July 2021)
- “Focus on Human Rights a Challenge in China,” Pensions & Investments (April 2021)
- “UK Considers Ways to Boost Compliance with Modern Slavery Act,” Society for Human Resource Management, April 5, 2019
- “Top 100 Corporate Social Responsibility influence Leaders,” Assent Compliance, August 2, 2018
- “A Transparency Rule Killed By Trump Will Soon Be Back On The Table,” Global Investigations Review, July 19, 2018
- “How Mining Companies with Strong CSR Programs Benefit All Stakeholders,” Investing News Network, July 17, 2018
- “Firms Aren’t Scaling Back Conflict Minerals Reporting As Feared,” Bloomberg BNA, June 19, 2018
- “Alternative Investment Industry Believes Sustainability Reporting is Increasingly Important,” AlphaWeek, June 11, 2018
- “Tackling Modern-Day Slavery Within Global Supply Chains,” Financier Worldwide Magazine, November 15, 2017
- “New Approaches for Detecting Human Trafficking in the Supply Chain,” RANE Network Webinar Recap, November 2, 2017
- “Growing Regulation Around Conflict Minerals” RANE Network Intelligence Report, October 11, 2017
- “Gold Refiner’s Sales Team Trick Compliance Staff into Approving Illegal Acquisitions,” Association of Certified Money Laundering Specialists, September 14, 2017
- “Companies remain committed to U.S. conflict minerals reporting,” Chemical Watch, August 17, 2017
- “The State of Compliance 2017,” Assent Compliance Report, August 9, 2017
- “Chasing the Green Dollar,” HFM Investor Relations, April 1, 2017
- “Yes, there is still a conflict minerals rule,” Compliance Week, March 28, 2017
- “Conflict minerals, extractive payments rules suffer fatal blows,”Compliance Week, February 7, 2017
- “Will Corporate Responsibility Continue Under Trump?,” The American Lawyer, December 15, 2016
- “How Hedge Fund Managers Can Design an ESG Investing Policy (Part Two of Two),” The Hedge Fund Law Report, November 17, 2016
- “The Past, Present and Future of ESG Investing in the Hedge Fund Industry (Part One of Two),” The Hedge Fund Law Report, November 10, 2016
- “SEC is back with another extractive payments rule,” Compliance Week, July 5, 2016
- “SEC Finalizes Controversial Disclosure Rule for Oil, Gas Extractors,” Corporate Counsel, June 28, 2016
- “Latest conflict minerals filings show improved due diligence,”Compliance Week, June 21, 2016
- “Independent Audits of Conflict Minerals Reports Triple,” Agenda, June 20, 2016
- “Top 100 Conflict Minerals Influence Leaders,” Assent Compliance, Mar. 22, 2016
- “Companies Struggle to Comply With Rules on Conflict Minerals,” The New York Times, Sept. 7, 2015
- “SEC’s Conflict Minerals Rule Sets Up 1st Amendment Clash,” Law360, Aug. 18, 2015
- “Court Case Could Alter Conflict Minerals Rules,” The Wall Street Journal, Aug. 4, 2015
- “Conflict Minerals: From Compliance to ERM,” Compliance Week, June 2015
- “Michael Littenberg Named to Top 15 in List of 100 Most Influential People in Conflict Minerals,” Assent Compliance, March 18, 2015
- “NGO Feedback Drives More Detailed Conflict Minerals Reporting,” CERM Risk Insights, Feb. 28, 2015
- “‘Conflict Minerals’ Law Reaps Unforeseen Results” Investor’s Business Daily, Feb. 19, 2015
- “Where Apple Gets the Tantalum for Your iPhone,” Newsweek, Feb. 4, 2015
- “Conflict Minerals Due Diligence: Strategies for a Successful Second Filing,” Orthoworld – BONEZONE, Jan. 13, 2015
- “D.C. Circuit to Give Second Look at SEC’s Conflict-Minerals Rule,” The National Law Journal, Nov. 24, 2014
- “Supply Chains Could Be Weak Conflict Minerals Link,” Mining Journal, Sept. 26, 2014
- “Just Four Companies Had Conflict Mineral Reports Audited,” The Wall Street Journal – CFO Journal, Sept. 18, 2014
- “The Morning Risk Report: Conflict Minerals List Makes Compliance a Little Easier,” The Wall Street Journal – Risk & Compliance Journal, Sept. 9, 2014
- “The Potential Hidden Benefits of Conflict Minerals Disclosures,” Compliance Week, Sept. 9, 2014
- “Conflict Minerals Law Starts Working Despite Poor Industry Response,” Reuters, July 1, 2014
- “Conflict Minerals Disclosure Will Improve, Says Lawyer,” Mining Journal, June 4, 2014
- “Dozens of Firms Report N. Korea Gold in Supply Lines,” The Wall Street Journal – Risk & Compliance Journal, June 4, 2014
- “Conflict Mineral Filings To Draw Harsher Spotlight,” Law360, June 3, 2014
- “Future of Conflict Minerals Reports May Depend on Meat Labels,” CFO Journal, June 3, 2014
- “Companies to ‘Show Their Work and Not Their Answer’ in Conflict Minerals Reports,” Resource Investing News, May 23, 2014
- “The Final Stretch for Conflict Minerals Compliance,” Treasury & Risk, May 21, 2014
- “Companies Unearth Few Answers on ‘Conflict Minerals,’ ”CFO Journal, May 20, 2014
- “A Month Before Deadline, Firms Play for Time on Conflict-Mineral Reporting,” Bloomberg Businessweek, April 29, 2014
- “Conflicts Minerals Ruling Doesn’t Mean Companies Are Off the Hook,” Compliance Week, April 22, 2014
- “Advice for Companies After Conflict Minerals Ruling,” The FCPA Blog, April 17, 2014
- “Joining US, EC Moves on Conflict Minerals,” The American Lawyer, March 10, 2014
- “Conflict Minerals: Due Diligence, Disclosure Lessons for Compliance (Part 3),” The FCPA Blog, March 7, 2014
- “Conflict Minerals: Due Diligence, Disclosure Lessons for Compliance (Part 2),” The FCPA Blog, March 6, 2014
- “The Art of Conflict Minerals Compliance,” Inside Counsel, Jan. 28, 2014
- “Conflict Minerals Compliance: Observations and Recommendations for 2014 and Beyond,” Main Justice, Jan. 27, 2014
- “How Court Could Shape a New Conflict Minerals Rule,” Compliance Week, Jan. 22, 2014
- “7 Leading Industry Associations Join Forces To Launch The Single Largest Initiative To Help Address Conflict Minerals Compliance Questions,” 3BL Media, Jan. 22, 2014
- “Conflict Minerals Rules May Soon Have International Counterparts,” Compliance Week, Nov. 5, 2013
- “What’s in Your Smartphone? Blood Electronics,” Politico, Oct. 24, 2013
- “SEC Weighs Conflict Minerals and Congressional Mandates,” Agenda, Oct. 21, 2013
- “SEC's Conflict Minerals Rule Win Means the Clock is Ticking,” Compliance Week, July 30, 2013
- “Court Upholds ‘Conflict Minerals’ Rule,” CFO.com, July 24, 2013
- “The Global Lawyer: Why Your Next iPhone Will be Blood-Free,” The Am Law Litigation Daily, July 24, 2013
- “Conflict Minerals Rules Stretch Supply Chain Software Capabilities,” CIO Journal, July 8, 2013
- “SEC Excludes Packaging From Conflict Minerals Testing,” CFO Journal, June 3, 2013
- “Showing Your Metal,” IR Update, May 2013
- “Conflict Minerals Showdown Heats Up,” ThomasNet Industry Market Trends, March 19, 2013
- “Time to Look at the Conflict Minerals Disclosure Requirements,” The D&O Diary, March 7, 2013
- “Shareholder Activists Push for Human Rights Committees,” Compliance Week, March 5, 2013
- “Conflict Mineral Reports Present Challenges for Auditors,” The Wall Street Journal Corruption Currents Blog, Jan. 29, 2013
- “Rocks and a Hard Place; Lawsuit Challenges SEC Disclosure Rule on Origins of Four 'Conflict Minerals,’” The National Law Journal, Jan. 28, 2013
- “Regulators Have Unfinished Business to Complete in 2013,” Compliance Week, Jan. 2, 2013
- “Gut Check: A New SEC Rule Forces Companies to Plumb the Sources of Their Products,”Corporate Counsel, Nov. 1, 2012
- “Conflict Minerals Rule in Limbo, as Legal Challenge Awaits,”Compliance Week, Oct. 30, 2012
- “Business Groups File Challenge to SEC Conflict Minerals Rule,”Corporate Counsel, Oct. 24, 2012
- “Business Groups Sue to Block 'Conflict Minerals' Rules,”The Wall Street Journal Corruption Currents Blog, Oct. 22, 2012
- “Manufacturers Mount Legal Challenge to Conflict Minerals Rule,”CFO Journal, Oct. 22, 2012
- “U.S. Chamber, NAM Take Legal Action Against Conflict Minerals Rule,”Compliance Week, Oct. 22, 2012
- “Dodd-Frank Opponents Consider New Legal Challenges,”Compliance Week, Oct. 16, 2012
- “Initial Reactions: Businesses Score on Conflict Minerals, Lose on Extractive Industry Disclosures,” The Wall Street Journal, Sept. 22, 2012
- “SEC's 'Conflict Minerals' Rules Open Companies to Activists,”The Wall Street Journal, Sept. 19, 2012
- “What IR Departments Need to Know About the SEC’s Conflict Minerals Rule,”Inside Investor Relations, Sept. 17, 2012
- “How Conflict Minerals Rules Affect Steel Scrap and Gold Supply Chains,”MetalMiner, Sept. 5, 2012
- “High Tide: From Britain’s FATCA to Rejecting Tymoshenko’s Appeal,”The Wall Street Journal, Aug. 29, 2012
- “Conflicts Start Early on Minerals Rule; 'Absolutely Insane,’”Compliance Week, Aug. 28, 2012
- “SEC Rule Mandates Sourcing of 'Conflict Minerals' at U.S. Companies,”Corporate Counsel, Aug. 24, 2012
- “US Companies Face Tougher Rules on African War Zones,”The Global Legal Post, Aug. 24, 2012
- “Apple, Boeing Among Thousands Explaining Metal Origins to SEC,”Bloomberg, Aug. 22, 2012
- “SEC's Toned-Down Conflict Mineral Rule Still Faces A Fight,”Law360, Aug. 22, 2012
- “U.S. Oil and Mining Companies Must Disclose Payments to Foreign Governments,”The New York Times, Aug. 22, 2012
- “US SEC Forces Disclosure of Oil, Mining Payments Abroad,”Trust Law, Aug. 22, 2012
- “SEC Said Poised To Make Companies Report Business With Warlords,”Bloomberg, July 25, 2012