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Securities Law › Business Organization › Professional Malpractice

Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:

News & Analysis as of May 21, 2013

David Tate

COMMENTS ABOUT SEC V. THOR INDUSTRIES: THE ALLEGATIONS AND THE REMEDIES DAVID TATE ESQ 06092011

by David Tate on 6/9/2011

A summary and discussion about SEC v. Thor Industries, including the allegations, the remedies, who did or did not do what, and improvements that could be made by the SEC and in governance and risk....more

David Tate

D&O, GRC and Accountant Update 8.28.10

by David Tate on 8/28/2010

D&O, GRC and Accountant Update 8.28.10, the new SEC proxy access rules, and links to articles of interest. Dave Tate, Esq. http://davidtate.us...more

David Tate

D&O, Governance, Risk, Compliance and Accountant Update 8.20.10

by David Tate on 8/20/2010

D&O, Governance, Risk, Compliance (GRC) and Accountant Update 8/20/10....more

David Tate

Audit Committee Annual Self Evaluation Form

by David Tate on 10/25/2009

Audit committee annual self evaluation form in Adobe allowing for information input....more

David Tate

Audit Committee Agenda April 1, 2009

by David Tate on 4/1/2009

Audit Committee Agenda updated April 1, 2009...more

David Tate

Audit Committee Responsibilities & Risk Management

by David Tate on 9/26/2008

Public and private company audit committee responsibilities and risk management....more

David Tate

The Little Paper About Nonprofit Audit Committees

by David Tate on 9/26/2008

A paper discussing nonprofit audit committee functions and responsibilities....more

David Tate

Governance Lessons Learned From SEC v. Con-way, Inc.

by David Tate on 8/30/2008

Governance lessons learned from SEC v. Con-way, Inc....more

David Tate

Comments about New Century's Examiner's Report regarding the Audit Committee and Internal Audit

by David Tate on 4/2/2008

Comments about New Century's Examiner's Report regarding the Audit Committee and Internal Audit...more

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