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Governance

for Stock Exchanges & Regulators

Good governance support the long-term prosperity of your business.

The practice of good governance requires being informed, transparent and accountable.

It also benefits from a fresh perspective and the willingness to question historical precedent. Our diverse team is qualified to do just that. We are former regulators who also have:

  • Direct board-level experience with private, publicly-traded and charitable organizations
  • Expertise in legal, risk management and regulatory compliance
  • Experiential insight into industry best practices
  • Demonstrated ability to recognize new and emerging trends and risks
Our Services
Board Advisory Services

Your board must act in the best interests of your organization and its stakeholders. We design and implement operational processes to help senior management and board directors meet their fiduciary duties. Our professionals have provided legal and organizational support to diverse types of boards, working directly with directors in their various board capacities—we can:

  • Conduct independent board evaluations and skills assessments
  • Assess the effectiveness of internal compliance, audit and enterprise-wide risk management programs
  • Identify board oversight opportunities for deals including IPOs, acquisitions, divestitures, joint ventures and strategic alliances
  • Establish processes for board oversight of ESG issues
  • Develop practical risk management oversight processes
  • Identify and assess conflicts of interest
  • Provide independent fraud detection reviews and remediation
  • Develop efficient board reporting practices
  • Consult on practical corporate governance issues
  • Educate on current, new and emerging governance risks
  • Develop and implement processes to meet fiduciary duty requirements
Risk Committee Advisory Services

Risk oversight is critical, yet complex. Perhaps you establish a board-level risk committee by choice. Or, you are required to do so by regulation. Whatever the reason, your risk committee should have advice and training that is relevant, accurate and practical to enable directors to ask the right questions at the right time. Our specialists have extensive experience serving on boards—we can:

  • Design and implement effective, practical enterprise-wide risk oversight governance structures
  • Develop methodologies for setting and overseeing risk appetite and risk tolerance levels set by the board
  • Monitor enterprise-wide compliance with policies and procedures relating to risk management governance, practices, and risk controls
  • Identify and remediate gaps in existing governance structures
  • Facilitate the development of a risk committee charter
  • Advise on risk committee structure and composition.
Board Education & Training

To effectively represent the interests of investor and other key stakeholders, and to fulfill their legal, fiduciary and ethical oversight responsibilities, your board members must be kept up-to-date on regulatory issues. Our knowledgeable team presents training programs tailored specifically to board members’ needs—we have presented on a variety of topics, including but not limited to:

  • New regulatory developments
  • Enterprise Risk Management, including geo-political risks
  • Fraud detection and remediation
  • Foreign Corrupt Practices Act (FCPA) & anti-corruption
  • “Pay to play” rules
  • Conflicts of interest
  • Fiduciary duties
  • Identifying, disclosing and managing enterprise risk
  • Environmental, social and governance (ESG) initiatives
  • Material non-public information and illegal insider trading
  • Cybersecurity.

Schedule A
Consultation

Discover how ACTIVUS delivers practical solutions to real-world challenges.

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