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      • Faculty Publications  (104)

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      • May 2022
      • Article

      When Harry Fired Sally: The Double Standard in Punishing Misconduct

      By: Mark Egan, Gregor Matvos and Amit Seru
      We examine gender differences in misconduct punishment in the financial advisory industry. We find evidence of a “gender punishment gap”: following an incident of misconduct, female advisers are 20% more likely to lose their jobs and 30% less likely to find new jobs...  View Details
      Keywords: Financial Advisers; Brokers; Gender Discrimination; Consumer Finance; Financial Misconduct And Fraud; FINRA; Financial Institutions; Employees; Crime and Corruption; Gender; Prejudice and Bias; Personal Finance; Financial Services Industry
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      Egan, Mark, Gregor Matvos, and Amit Seru. "When Harry Fired Sally: The Double Standard in Punishing Misconduct." Journal of Political Economy 130, no. 5 (May 2022): 1184–1248.
      • March 2022
      • Case

      Swvl: Smart Mobility for the Masses

      By: Krishna Palepu, Esel Çekin and Menna Hassan
      The case focuses on strategy and governance issues at SWVL, a tech-enabled mass mobility marketplace. It describes the journey of CEO and Chairman Mostafa Kendil on his journey from founding to the company’s listing on Nasdaq. Since its founding in Egypt in 2017, Swvl...  View Details
      Keywords: Corporate Governance; Growth and Development Strategy; Initial Public Offering; Innovation and Invention; Business Startups; Transportation Industry; Technology Industry; Middle East; North Africa
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      Palepu, Krishna, Esel Çekin, and Menna Hassan. "Swvl: Smart Mobility for the Masses." Harvard Business School Case 122-097, March 2022.
      • March 2022 (Revised May 2022)
      • Case

      Winning Business at Russell Reynolds (A)

      By: Ethan Bernstein and Cara Mazzucco
      In an effort to make compensation drive collaboration, Russell Reynolds Associates’ (RRA) CEO Clarke Murphy sought to re-engineer the bonus system for his executive search consultants in 2016. As his HR analytics guru, Kelly Smith, points out, that risks upsetting–and...  View Details
      Keywords: Compensation; Collaboration; Executive Search Firms; Consulting Firms; Compensation and Benefits; Restructuring; Human Resources; Human Capital; Management Practices and Processes; Organizational Culture; Organizational Change and Adaptation; Social and Collaborative Networks; Recruitment; Selection and Staffing; Talent and Talent Management; Consulting Industry; Employment Industry; Asia; Europe; Latin America; Middle East; North and Central America; South America; Oceania
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      Bernstein, Ethan, and Cara Mazzucco. "Winning Business at Russell Reynolds (A)." Harvard Business School Case 422-045, March 2022. (Revised May 2022.)
      • March 2022
      • Supplement

      Winning Business at Russell Reynolds (B)

      By: Ethan Bernstein and Cara Mazzucco
      In an effort to make compensation drive collaboration, Russell Reynolds Associates’ (RRA) CEO Clarke Murphy sought to re-engineer the bonus system for his executive search consultants in 2016. As his HR analytics guru, Kelly Smith, points out, that risks upsetting–and...  View Details
      Keywords: Compensation; Collaboration; Executive Search Firms; Consulting Firms; Compensation and Benefits; Restructuring; Human Resources; Human Capital; Management Practices and Processes; Organizational Culture; Organizational Change and Adaptation; Social and Collaborative Networks; Recruitment; Selection and Staffing; Talent and Talent Management; Consulting Industry; Employment Industry; Asia; Europe; Latin America; Middle East; North and Central America; South America; Oceania
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      Bernstein, Ethan, and Cara Mazzucco. "Winning Business at Russell Reynolds (B)." Harvard Business School Supplement 422-046, March 2022.
      • January 2022 (Revised February 2022)
      • Case

      Introducing EVA at ISS: A Better Way to Evaluate CEO Performance and Compensation?

      By: Jonas Heese, Charles C.Y. Wang and James Weber
      In early 2019, Anthony Campagna, the global director of fundamental research at ISS EVA, a unit of the proxy advisory firm Institutional Shareholder Services (ISS), was preparing to release ISS's analyses of public company performance and CEO compensation ahead of Say...  View Details
      Keywords: Jobs and Positions; Compensation and Benefits; Performance; Performance Productivity; Measurement and Metrics; Analytics and Data Science; Value; Business or Company Management; Performance Evaluation; Business and Shareholder Relations
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      Heese, Jonas, Charles C.Y. Wang, and James Weber. "Introducing EVA at ISS: A Better Way to Evaluate CEO Performance and Compensation?" Harvard Business School Case 122-061, January 2022. (Revised February 2022.)
      • January–February 2022
      • Article

      Mobilizing the U.S. Military’s TRICARE Program for Value-Based Care: A Report From the Defense Health Board

      By: Robert S. Kaplan, Paul R. Schaettle, Vivian S. Lee, Michael D. Parkinson, Gregory H. Gorman and Michael-Anne Browne
      The U.S. Military Health System spends about $50 billion annually through its TRICARE health plans to provide care to 9.6 million active duty service members, retirees, and their families. TRICARE, historically, has used the predominant U.S. fee-for-service payment...  View Details
      Keywords: Military Health System; Value-based Healthcare; Health Care and Treatment; United States
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      Kaplan, Robert S., Paul R. Schaettle, Vivian S. Lee, Michael D. Parkinson, Gregory H. Gorman, and Michael-Anne Browne. "Mobilizing the U.S. Military’s TRICARE Program for Value-Based Care: A Report From the Defense Health Board." Military Medicine 187, nos. 1-2 (January–February 2022): 12–16.
      • October 2021
      • Case

      Financial Reporting at Mattel

      By: Aiyesha Dey, Trung Nguyen, Marshal Herrmann and Julia Kelley
      In September 2020, Diana Ferguson was nearing her first Audit Committee meeting as the newly appointed Audit Committee chair of Mattel, Inc. Mattel was just recovering from an accounting scandal which had revealed the company’s poor internal controls and weak board...  View Details
      Keywords: Accounting; Accounting Audits; Financial Reporting; Financial Statements; Governance; Corporate Accountability; Corporate Disclosure; Corporate Governance; Governance Compliance; Governance Controls; Governing Rules, Regulations, and Reforms; Governing and Advisory Boards; Lawsuits and Litigation; Business and Shareholder Relations; Financial Services Industry; Financial Services Industry; Financial Services Industry; North and Central America; United States; California
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      Dey, Aiyesha, Trung Nguyen, Marshal Herrmann, and Julia Kelley. "Financial Reporting at Mattel." Harvard Business School Case 122-006, October 2021.
      • September 2021
      • Case

      Vignettes on Professional Service Firm Governance

      By: David G. Fubini, Suraj Srinivasan and Li-Kuan Ni
      The two vignettes within “Vignettes on Professional Service Firm Governance” (HBS No. 122-024) present various issues relating to governance in professional service firms (“PSFs”). In the first, the Managing Director of a U.S. consulting firm contemplates whether to...  View Details
      Keywords: Consulting Firms; Professional Services; Board Of Directors; Professional Service; Global Firm; Executive Leadership; Globalized Firms and Management; Private Equity; Governing and Advisory Boards; Global Strategy; Corporate Governance; Governance Controls; Leadership Development; Leading Change; Emerging Markets; Strategic Planning; Partners and Partnerships; Service Industry; United States; India
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      Fubini, David G., Suraj Srinivasan, and Li-Kuan Ni. "Vignettes on Professional Service Firm Governance." Harvard Business School Case 122-024, September 2021.
      • 2021
      • Working Paper

      Proxy Advisory Firms and Corporate Shareholder Engagement

      By: Aiyesha Dey, Joshua White and Austin Starkweather
      We examine the influence of proxy advisors on firms’ shareholder engagement behavior. Our analyses exploit a quasi-natural experiment using Say-On-Pay voting outcomes near a threshold that triggers a review of engagement activities by Institutional Shareholder Services...  View Details
      Keywords: Proxy Advisors; ISS; Shareholder Engagement; Disclosure; Business and Shareholder Relations; Executive Compensation; Corporate Disclosure
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      Dey, Aiyesha, Joshua White, and Austin Starkweather. "Proxy Advisory Firms and Corporate Shareholder Engagement." Harvard Business School Working Paper, No. 21-137, June 2021. (Revised February 2022.)
      • June 2021
      • Case

      Building the Governance to Take Capital SAFI to the Next Level

      By: V.G. Narayanan, Asis Martinez Jerez and Mariana Cal
      Asset management firm Capital SAFI wanted to attract new strategic investors and expand to other countries. Having the right corporate governance in place was critical to achieve this goal.  View Details
      Keywords: Board Of Directors; Transparency; Sustainable Finance; South America; Latin America; Corporate Governance; Governance Controls; Governing and Advisory Boards; Business Organization; Corporate Strategy; Transformation; Investment Funds; Financial Services Industry; Bolivia; South America; Latin America
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      Narayanan, V.G., Asis Martinez Jerez, and Mariana Cal. "Building the Governance to Take Capital SAFI to the Next Level." Harvard Business School Case 121-088, June 2021.
      • March 2021
      • Article

      The Customer May Not Always Be Right: Customer Compatibility and Service Performance

      By: Ryan W. Buell, Dennis Campbell and Frances X. Frei
      This paper investigates the impact of customer compatibility – the degree of fit between the needs of customers and the capabilities of the operations serving them – on customer experiences and firm performance. We use a variance decomposition analysis to quantify the...  View Details
      Keywords: Customer Compatibility; Satisfaction; Profitability; Service Operations; Customer Relationship Management; Customer Satisfaction; Performance
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      Buell, Ryan W., Dennis Campbell, and Frances X. Frei. "The Customer May Not Always Be Right: Customer Compatibility and Service Performance." Management Science 67, no. 3 (March 2021): 1468–1488.
      • January 2021
      • Case

      Egon Zehnder: Beyond Search?

      By: Ashish Nanda and Margaret Cross
      In 2019, Egon Zehnder chair Jill Ader and CEO Edilson Camara faced a critical question: how should the global executive search firm approach its burgeoning advisory service offering? Since 2003, the firm’s advisory practice had grown as a conglomeration of grassroots...  View Details
      Keywords: Professional Services Firms; Executive Search Firms; Professionalism; Partnership; Executive Coaching; Leadership Development; Expansion; Decision Making; Strategy; Switzerland; London
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      Nanda, Ashish, and Margaret Cross. "Egon Zehnder: Beyond Search?" Harvard Business School Case 721-430, January 2021.
      • November 2020 (Revised February 2021)
      • Case

      Wes Hall and the BlackNorth Initiative

      By: Shikhar Ghosh, Marilyn Morgan Westner and Reza Satchu
      Wes Hall founded Kingsdale Advisors and built it into one of Canada’s leading shareholder services and advisory firms. Influenced by the Black Lives Matter (BLM) movement and a series of social injustices—specifically the death of George Floyd in police custody—Hall...  View Details
      Keywords: Racism; Cultural Entrepreneurship; Social Entrepreneurship; Diversity; Race; Social Issues; Ethics; Canada; North America
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      Ghosh, Shikhar, Marilyn Morgan Westner, and Reza Satchu. "Wes Hall and the BlackNorth Initiative." Harvard Business School Case 821-056, November 2020. (Revised February 2021.)
      • October 2020 (Revised November 2020)
      • Case

      Digging for Gold: Paulson & Co.'s Activism in the Gold Sector

      By: Suraj Srinivasan and Jonah S. Goldberg
      The case describes the efforts of hedge fund Paulson & Co to influence corporate governance and improve performance in the gold industry. In an innovative move, the hedge fund led the creation of the Shareholder Gold Council, a consortium of large investors in gold...  View Details
      Keywords: Board Of Directors; Hedge Funds; Shareholder Activism; Gold; Corporate Governance; Governing and Advisory Boards; Investment Funds; Investment Activism; Performance Improvement; Corporate Accountability; Mining Industry; Canada; United States
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      Srinivasan, Suraj, and Jonah S. Goldberg. "Digging for Gold: Paulson & Co.'s Activism in the Gold Sector." Harvard Business School Case 121-021, October 2020. (Revised November 2020.)
      • July 2020 (Revised March 2021)
      • Case

      Board Diversity at Amazon (A)

      By: Aiyesha Dey and Anu Atluru
      The case revolves around the decisions that the board of directors of ecommerce giant Amazon would need to make in response to the controversial letter that activist shareholder CtW investment group sent to Amazon’s shareholders, urging them to vote in favor of a...  View Details
      Keywords: Board Of Directors; Boards; Governing and Advisory Boards; Diversity; Gender; Race; United States
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      Dey, Aiyesha, and Anu Atluru. "Board Diversity at Amazon (A)." Harvard Business School Case 121-012, July 2020. (Revised March 2021.)
      • February 2020 (Revised June 2020)
      • Case

      Shaping the Governance Debate at ISS

      By: Suraj Srinivasan, Jonah S. Goldberg and Calvin O. Liou
      ISS is the world’s largest provider of corporate governance research, data, analytics, and voting services. The case uses the effort of the Securities and Exchange Commission (SEC) to impose an array of new regulations that would severely restrict the functioning of...  View Details
      Keywords: Proxy Advisory Services; Corporate Governance; Research; Investment; Governing Rules, Regulations, and Reforms; Business and Shareholder Relations; Institutional Investing
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      Srinivasan, Suraj, Jonah S. Goldberg, and Calvin O. Liou. "Shaping the Governance Debate at ISS." Harvard Business School Case 120-085, February 2020. (Revised June 2020.)
      • January 2020 (Revised July 2020)
      • Case

      BlackRock: Linking Purpose to Profit

      By: Rohit Deshpandé, Aiyesha Dey and George Serafeim
      The case revolves around the actions that Barbara Novick, co-founder and Vice-Chair of Blackrock, and Michelle Edkins, Global Head of Investment Stewardship, would need to take in response to the controversial CEO letters from Laurence (Larry) Fink, Chairman and CEO of...  View Details
      Keywords: Boards Of Directors; Institutional Investors; Disclosure; Transparency; Corporate Purpose; Corporate Profits; ESG; ESG Disclosure Metrics; Corporate Sustainability; Engagement Strategy Of Institutions; Stewardship Role Of Institutions; BlackRock; Corporate Governance; Governing and Advisory Boards; Institutional Investing; Accounting; Corporate Disclosure; Mission and Purpose; Profit; Environmental Sustainability; Climate Change; Diversity; Corporate Accountability; Financial Services Industry; United States
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      Deshpandé, Rohit, Aiyesha Dey, and George Serafeim. "BlackRock: Linking Purpose to Profit." Harvard Business School Case 120-042, January 2020. (Revised July 2020.)
      • 2019
      • Working Paper

      Bank Boards: What Has Changed Since the Financial Crisis?

      By: Shiva Rajgopal, Suraj Srinivasan and Forester Wong
      Several government-mandated committees investigating the financial crisis highlighted four key deficiencies in the composition of bank boards before the crisis: (i) group think among bank board members; (ii) absence of prior banking experience of board members; (iii)...  View Details
      Keywords: Banks and Banking; Governing and Advisory Boards; Corporate Governance; Financial Crisis; Change; Diversity
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      Rajgopal, Shiva, Suraj Srinivasan, and Forester Wong. "Bank Boards: What Has Changed Since the Financial Crisis?" Harvard Business School Working Paper, No. 19-108, April 2019.
      • 2020
      • Working Paper

      Are ISS Recommendations Informative? Evidence from Assessments of Compensation Practices

      By: Ana Albuquerque, Mary Ellen Carter and Susanna Gallani
      Using detailed information from the largest proxy advisor in the U.S., Institutional Shareholder Services (ISS), we examine whether proxy advisors’ assessments of firms’ compensation practices are able to identify poor compensation practices as measured by subsequent...  View Details
      Keywords: Proxy Advisors; CEO Compensation; Say-on-Pay; Institutional Shareholder Voting; Executive Compensation; Performance
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      Albuquerque, Ana, Mary Ellen Carter, and Susanna Gallani. "Are ISS Recommendations Informative? Evidence from Assessments of Compensation Practices." Harvard Business School Working Paper, No. 19-085, February 2019. (Revised March 2020.)
      • February 2019
      • Article

      The Market for Financial Adviser Misconduct

      By: Mark Egan, Gregor Matvos and Amit Seru
      We construct a novel database containing the universe of financial advisers in the United States from 2005 to 2015, representing approximately 10% of employment of the finance and insurance sector. We provide the first large-scale study that documents the economy-wide...  View Details
      Keywords: Financial Advisors; Brokers; Consumer Finance; Financial Misconduct And Fraud; FINRA; Financial Institutions; Crime and Corruption; Organizational Culture; Personal Finance; Financial Services Industry
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      Egan, Mark, Gregor Matvos, and Amit Seru. "The Market for Financial Adviser Misconduct." Journal of Political Economy 127, no. 1 (February 2019): 233–295.
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