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How To Avoid Liability For Halo Statements

By James Goldfarb, Elizabeth Del Cid and Gaurav Talwar (July 19, 2018, 12:48 PM EDT) -- U.S. Securities and Exchange Commission Chairman Jay Clayton recently reminded us that corporate culture and the "tone from the top" remain important to regulators, even in this enforcement-lite environment. Speaking about financial firm culture before the New York Fed, Clayton predicted pain for firms whose cultural compass diverges from the commission's. "[I]f the regulator is convinced a firm has a cultural problem and the firm continues to fight that conclusion, tension is likely to be high and progress — which involves fostering mutual regulator-firm respect and trust — will be slow and costly all around." "Culture," Clayton said, "is not optional."[1]...

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