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Our Blog: The Podium

Keeping the Activists at Bay: Five Steps to an Effective Response Plan

The new reality is that no public company, no matter how highly regarded or well managed, is immune from activist attention. The number of activist campaigns waged against public companies increased in 2015 to 375 according to the research firm FactSet.

Once an activist surfaces, every move a company makes can have a profound and cascading effect on its long-term viability.  Therefore, it is essential to craft response plans before any sign of danger emerges.

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Targeting, Wall Street, Shareholder Activism, Investor Meetings, Buy-Side, Proxy Season, Proxy Fight, Crisis Communications, STREETSCOPE, IRO, CFO

Employee Training: From Reg FD to “Wall Street 101”

By Maureen Wolff, President and Partner, Sharon Merrill Associates

When the SEC last month charged First Solar’s former head of investor relations with violating its fair disclosure rules, the announcement gave more than a few IROs pause. And for good reason. Lawrence Polizzotto paid a $50,000 fine for the violation. Although corporate IROs and the financial press have focused on the settlement with Polizzotto, perhaps more critical for public companies is the SEC’s treatment of First Solar itself.

Rather than charge the company separately, the SEC said it decided to forego corporate enforcement because of First Solar’s “extraordinary cooperation.” This included the company self-reporting the violations to the SEC and its “environment of compliance," which First Solar developed through its disclosure committee and additional Reg FD training for employees managing the company's public disclosure.

But how many public companies are actively training their staff in Reg FD, insider trading or even the general responsibilities that come with working for a public company? For example, while instruction against insider trading is something every public company should be providing, there are numerous examples of public filers whose employees claimed they did not know they were violating insider trading laws. Many companies expect their managers and reporting staff to understand what it means to be a public company employee, but may not take the time to teach it. And if it is taught, the training may consist of just a single session right before the IPO – perhaps never to be offered again.

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IR Program Planning, Reg FD, Wall Street, Investor Relations Agency, IPO, Shareholder Communications, Investor Relations, Investor Relations Firm

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