The financial press is replete with examples of corporate compliance and ethics failures, and investors know all too well the costs that such failures can impose on their investment portfolios. This course will highlight certain key elements of a culture of compliance & ethics, review various resources for corporate advisers, provide some examples of the link between shareholder value and corporate culture, and describe how cultures of ethics & compliance can provide a sustainable competitive advantage to companies and increased alpha to investors.
Mr. Clifton is a champion of ethics, compliance and corporate governance best practices with sophisticated legal experience in corporate, M&A, securities, finance, private equity, antitrust, intellectual property, commercial litigation, real estate, employment and regulatory compliance matters. Currently, he serves as Associate General Counsel & Assistant Secretary of OneMain Holdings, Inc. (NYSE: OMF), a leading consumer finance company. Prior to joining OneMain, he served as Senior Vice President, Deputy General Counsel & Assistant Secretary of PHH Corporation (NYSE: PHH), an outsource provider of mortgage origination and servicing solutions and, until July 2014, vehicle fleet management services. Prior to joining PHH, he served as Executive Vice President, General Counsel, Chief Compliance Officer & Secretary of Bimini Capital Management, Inc. (f/k/a Opteum Incorporated), a mortgage REIT formerly listed on the NYSE, and, from 2003 to 2006, he served in various legal capacities at PPG Industries, Inc. (NYSE: PPG), a Fortune 200 global manufacturer. From 1999 to 2003, he was associated with a predecessor of Pillsbury Winthrop Shaw Pittman LLP, where his practice focused principally on corporate, M&A, securities, private equity and finance matters. A graduate of Vanderbilt University School of Law and the Owen Graduate School of Management at Vanderbilt, Mr. Clifton holds an MBA in finance, is a Certified Public Accountant and is admitted to the bars of New York, Connecticut, Pennsylvania and Indiana. He is a member of the Association of Corporate Counsel and the Society of Corporate Secretaries and Governance Professionals, and formerly served as a director of the Western Pennsylvania Chapter of the Association of Corporate Counsel and Treasurer of the Pittsburgh Chapter of the Society of Corporate Secretaries and Governance Professionals.