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• Working Paper | 2020

  Directors’ Perceptions of Board Effectiveness and Internal Operations

  J. Yo-Jud Cheng, Boris Groysberg, Paul M. Healy and Rajesh Vijayaraghavan

  Keywords: corporate governance; boards of directors; Corporate Governance; Governing and Advisory Boards; Performance Effectiveness; Perception;

  Citation:

  Cheng, J. Yo-Jud, Boris Groysberg, Paul M. Healy, and Rajesh Vijayaraghavan. "Directors’ Perceptions of Board Effectiveness and Internal Operations." Working Paper, February 2020. (Under revision at Management Science>/i>.)  View Details

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• Background Note | HBS Case Collection | December 2019 (Revised January 2020)

  Background on Insider Trading Liability

  Trevor Fetter, Eugene F. Soltes and Grant Wahlquist

  There are numerous restrictions against trading on material, nonpublic information (MNPI)—typically called “insider trading.” This note describes the limitations facing managers and investors as enforced civilly and criminally within the United States.

  Keywords: insider trading; Legal Liability; Ethics; Crime and Corruption; Finance; United States;

  Citation:

  Fetter, Trevor, Eugene F. Soltes, and Grant Wahlquist. "Background on Insider Trading Liability." Harvard Business School Background Note 320-080, December 2019. (Revised January 2020.)  View Details

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• Case | HBS Case Collection | March 2011 (Revised December 2019)

  Wealth Management Crisis at UBS (A)

  Paul M. Healy, George Serafeim and David Lane

  The case describes the challenges that UBS faced as a result of the U.S. Department of Justice (DOJ) investigation for tax fraud, that claimed that UBS had helped some 52,000 U.S. residents hide billions of dollars in untaxed assets in secret Swiss accounts between 2000 and 2007, depriving the U.S. Treasury of hundreds of millions of dollars in taxes. Why did this happen inside UBS? What were the incentives and the corporate governance failures that led to these events? How should the board of directors of UBS respond to the requests of the tax and regulatory authorities?

  Keywords: fraud; regulatory enforcement; Reputation incentives; crony capitalism; tax havens; legitimacy; multinational; strategic change; incentives; transparency; financial services; Taxation; Crime and Corruption; Global Range; Asset Management; Ethics; Problems and Challenges; Governing Rules, Regulations, and Reforms; Corporate Governance; Financial Services Industry; United States; Switzerland;

  Citation:

  Healy, Paul M., George Serafeim, and David Lane. "Wealth Management Crisis at UBS (A)." Harvard Business School Case 111-082, March 2011. (Revised December 2019.)  View Details

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