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    • All HBS Web  (84)
      • Faculty Publications  (17)

      Fiduciary Duty Remove Fiduciary Duty →

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      • December 2022
      • Article

      Conflicting Interests and the Effect of Fiduciary Duty: Evidence from Variable Annuities

      By: Mark Egan, Shan Ge and Johnny Tang
      We examine the variable annuity market to study conflicts of interest and the effect of fiduciary duty in brokerage markets. Insurers typically pay brokers higher commissions for selling more expensive annuities. Our results indicate that sales are four times as...  View Details
      Keywords: Variable Annuity; Brokers; Fiduciary Duty; Finance; Investment; Insurance; Conflict of Interests; Financial Services Industry; Insurance Industry; United States
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      Egan, Mark, Shan Ge, and Johnny Tang. "Conflicting Interests and the Effect of Fiduciary Duty: Evidence from Variable Annuities." Review of Financial Studies 35, no. 12 (December 2022): 5334–5386.
      • November 2021
      • Background Note

      Fiduciary Duties Law for Managers: An Overview

      By: J.S. Nelson and Trevor Fetter
      This note describes the essential legal responsibilities of managers and company directors toward investors and other parties. These include basic fiduciary duties of loyalty, obedience, good faith and care, as well as duties that relate to...  View Details
      Keywords: Feduciary Duty; Managerial Roles; Legal Liability
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      Nelson, J.S., and Trevor Fetter. "Fiduciary Duties Law for Managers: An Overview." Harvard Business School Background Note 322-073, November 2021.
      • November 2020 (Revised April 2021)
      • Case

      Roll-Ups and Surprise Billing: Collisions at the Intersection of Private Equity and Patient Care

      By: Trevor Fetter and Kira Seiger
      This case describes the increasing investment by private equity (PE) firms in patient care and other healthcare services. The case focuses on investments in physician staffing firms and roll-up strategy investments in physician practice management (PPM). Included in...  View Details
      Keywords: Business Ventures; Acquisition; Mergers and Acquisitions; Business Model; Change; Disruption; Fluctuation; Trends; Customers; Customer Value and Value Chain; Ethics; Fairness; Finance; Equity; Insurance; Private Equity; Geography; Geographic Scope; Health; Health Care and Treatment; Markets; Demand and Consumers; Supply and Industry; Industry Structures; Ownership; Ownership Type; Private Ownership; Relationships; Agency Theory; Business and Community Relations; Business and Shareholder Relations; Business and Stakeholder Relations; Networks; Strategy; Competition; Consolidation; Expansion; Integration; Horizontal Integration; Vertical Integration; Value; Value Creation; Health Industry; Insurance Industry; United States
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      Fetter, Trevor, and Kira Seiger. "Roll-Ups and Surprise Billing: Collisions at the Intersection of Private Equity and Patient Care." Harvard Business School Case 321-049, November 2020. (Revised April 2021.)
      • December 2019 (Revised December 2020)
      • Technical Note

      A Short Note on Fiduciary Duties

      By: Lena G. Goldberg, Rebecca Henderson and Amy W. Schulman
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      Goldberg, Lena G., Rebecca Henderson, and Amy W. Schulman. "A Short Note on Fiduciary Duties." Harvard Business School Technical Note 320-079, December 2019. (Revised December 2020.)
      • November 2018 (Revised January 2019)
      • Module Note

      Responsibilities to Investors (Abridged)

      By: Lena G. Goldberg and Joseph L. Badaracco
      This note focuses on managers’ responsibilities—economic, legal, and ethical—to investors. In capitalist and some socialist economies, these responsibilities traditionally have been grounded in fiduciary duties and are typically part of the common law or statutory law...  View Details
      Keywords: Responsibilities To Investors; Investors; Responsibility; Business and Shareholder Relations; Management; Ethics
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      Goldberg, Lena G., and Joseph L. Badaracco. "Responsibilities to Investors (Abridged)." Harvard Business School Module Note 319-066, November 2018. (Revised January 2019.)
      • Article

      ESG Integration in Investment Management: Myths and Realities

      By: Sakis Kotsantonis, Christopher Pinney and George Serafeim
      The authors’ aim in this article is to set the record straight on the financial performance of sustainable investing while also correcting a number of other widespread misconceptions about this rapidly growing set of principles and methods. Myth Number 1:...  View Details
      Keywords: ESG; Sustainability; Investment Management; Finance; Corporate Social Responsibility; Integrated Corporate Reporting; Corporate Social Responsibility and Impact; Investment; Environmental Sustainability; Corporate Governance
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      Kotsantonis, Sakis, Christopher Pinney, and George Serafeim. "ESG Integration in Investment Management: Myths and Realities." Journal of Applied Corporate Finance 28, no. 2 (Spring 2016): 10–16.
      • Article

      Professionalism, Fiduciary Duty, and Health-Related Business Leadership

      By: Joshua D. Margolis
      Expanding fiduciary duty to leaders of health-related businesses can help leaders meet the challenges of caring for not only the corporation and shareholders but also the patients and medical professionals. How should leaders of health-related businesses weigh the...  View Details
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      Margolis, Joshua D. "Professionalism, Fiduciary Duty, and Health-Related Business Leadership." JAMA, the Journal of the American Medical Association 313, no. 18 (May 12, 2015): 1819–1820.
      • January 2014 (Revised October 2014)
      • Supplement

      Mittal Steel's Pursuit of Arcelor (B)

      By: Paul M. Healy and Penelope Rossano
      Lakshmi Mittal, CEO of Mittal Steel, a UK-based company with Indian roots, took advantage of a weakened Arcelor that had successfully won a bidding war for Canadian steel company Dofasco, with an unsolicited bid to buy the company. Mittal's plans for acquiring Arcelor...  View Details
      Keywords: Strategy; Fiduciary Duty; Negotiation; Steel; India; Europe; Governance; Mergers; Board Decisions; White Knight; Valuation; Mergers and Acquisitions; Corporate Governance; Economics; Steel Industry; Canada; United Kingdom; India
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      Healy, Paul M., and Penelope Rossano. "Mittal Steel's Pursuit of Arcelor (B)." Harvard Business School Supplement 114-057, January 2014. (Revised October 2014.)
      • January 2014 (Revised September 2015)
      • Case

      Mittal Steel's Pursuit of Arcelor (A)

      By: Paul M. Healy and Penelope Rossano
      Lakshmi Mittal, CEO of Mittal Steel, a UK-based company with Indian roots, took advantage of a weakened Arcelor that had successfully won a bidding war for Canadian steel company Dofasco, with an unsolicited bid to buy the company. Mittal's plans for acquiring Arcelor...  View Details
      Keywords: Fiduciary Duty; Steel; India; Europe; Governance; Mergers; Board Decisions; White Knight; Strategy; Negotiation; Mergers and Acquisitions; Corporate Governance; Cross-Cultural and Cross-Border Issues; Steel Industry; Canada; United Kingdom; Russia; India
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      Healy, Paul M., and Penelope Rossano. "Mittal Steel's Pursuit of Arcelor (A)." Harvard Business School Case 114-056, January 2014. (Revised September 2015.)
      • November 2005 (Revised February 2006)
      • Case

      Oracle vs. PeopleSoft (A)

      By: Lynn S. Paine, Guhan Subramanian and David Millstone
      Focuses on the hotly contested takeover battle between software rivals Oracle and PeopleSoft in 2003 and 2004. Raises novel issues of takeover law under Delaware corporate law as well as issues of fair competition under California law. A central issue is whether the...  View Details
      Keywords: Takeover; Fiduciary Duty; Mergers and Acquisitions; Applications and Software; Ethics; Law; Governing and Advisory Boards; Customer Focus and Relationships; Competition; Strategy; Information Technology Industry; United States
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      Paine, Lynn S., Guhan Subramanian, and David Millstone. "Oracle vs. PeopleSoft (A)." Harvard Business School Case 306-058, November 2005. (Revised February 2006.)
      • November 2004 (Revised June 2005)
      • Case

      Mall of America (A)

      By: Lynn S. Paine and Christopher Bruner
      Explores fiduciary duty issues that arose in litigation among partners in the partnership that owned and controlled the Mall of America. Describes the complex real estate transaction in which one partner attempted to purchase an additional interest in the mall from a...  View Details
      Keywords: Ethics; Business Organization; Lawsuits and Litigation; Partners and Partnerships; Property; Investment; Retail Industry; United States
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      Paine, Lynn S., and Christopher Bruner. "Mall of America (A)." Harvard Business School Case 305-068, November 2004. (Revised June 2005.)
      • June 2003 (Revised June 2003)
      • Background Note

      M & A Legal Context: Basic Framework for Corporate Governance

      By: Carliss Y. Baldwin, Constance E. Bagley and James Quinn
      Students are introduced to the basic framework for corporate governance. Begins by describing the complex role of the modern corporation, then proceeds by discussing the fiduciary duties to which a board of trustees is bound (duty of care, duty of loyalty, etc.), and...  View Details
      Keywords: Framework; Corporate Governance
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      Baldwin, Carliss Y., Constance E. Bagley, and James Quinn. "M & A Legal Context: Basic Framework for Corporate Governance." Harvard Business School Background Note 803-200, June 2003. (Revised June 2003.)
      • January 2002 (Revised October 2007)
      • Case

      Grantham, Mayo, Van Otterloo & Co., 2001

      By: Joshua Musher and Andre F. Perold
      Asset manager GMO underperforms the market during the 1996-2000 stock market bubble because of the focus on absolute risk. After suffering significant client withdrawals, performance again shines when the bubble collapses. Did they win the battle only to lose the war?...  View Details
      Keywords: Customers; Asset Management; Stocks; Investment; Price Bubble; Mathematical Methods; Risk and Uncertainty
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      Musher, Joshua, and Andre F. Perold. "Grantham, Mayo, Van Otterloo & Co., 2001." Harvard Business School Case 202-049, January 2002. (Revised October 2007.)
      • July 1999 (Revised April 2001)
      • Case

      Quickturn Design Systems, Inc. (A)

      By: Jay W. Lorsch and Katharina Pick
      Quickturn Design Systems, Inc. faces a hostile takeover bid from its competitor, Mentor Graphics. Mentor makes the bid at a moment when Quickturn's stock price is depressed and the company is defending against a patent suit filed by Mentor. The two companies have a...  View Details
      Keywords: Patents; Governing and Advisory Boards; Behavior; Lawsuits and Litigation; Organizations; Acquisition; Corporate Governance; Service Industry
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      Lorsch, Jay W., and Katharina Pick. "Quickturn Design Systems, Inc. (A)." Harvard Business School Case 400-001, July 1999. (Revised April 2001.)
      • July 1995
      • Background Note

      Managerial Duties and Business Law

      By: Joseph L. Badaracco Jr. and Jerry Useem
      Consists of excerpts from Principles of Corporate Governance, a set of legal guidelines that enumerates the principal duties of corporate managers and directors, including fiduciary duty, duty of care, and duty of fair dealing. Also addresses legal obligations relating...  View Details
      Keywords: Ethics; Corporate Governance; Retention; Common Law; Business or Company Management; Goals and Objectives; Managerial Roles
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      Badaracco, Joseph L., Jr., and Jerry Useem. "Managerial Duties and Business Law." Harvard Business School Background Note 395-244, July 1995.
      • winter 1988
      • Article

      Management Buyouts and Managerial Efforts

      By: Robert F. Bruner and Lynn S. Paine
      Management buyouts, which have played an important role in the recent wave of corporate restructurings, have been criticized from several directions. This article addresses the problems created by management's conflict of interest. As members of the buyout team,...  View Details
      Keywords: Buyout; Ethical Decision Making; Management; Leveraged Buyouts; Ethics; Decision Making
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      Bruner, Robert F., and Lynn S. Paine. "Management Buyouts and Managerial Efforts." California Management Review 30, no. 2 (winter 1988): 89–106.
      • Teaching Interest

      Overview

      By: John F. Batter
      As as Senior Lecturer I teach the EC course Law, Management and Entrepreneurship (cross-listed in the General Management and Entrepreneurial Management Units) in both the Fall and Spring semesters. While I have retired from my public and private company litigation...  View Details
      Keywords: Fiduciary Duty; Securities; Private Equity; Entrepreneurship; Mergers; Law
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