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Publicly-Traded Companies Compliance Internal Controls

Latham & Watkins LLP

SEHK Suspends Trading in Hong Kong Listed Company Pursuant to SFC’s Directions

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The SFC exercises its powers to order the suspension of trading in shares in a listed company to protect investors’ interests. On 15 April 2024, The Stock Exchange of Hong Kong Limited (SEHK) suspended trading in the...more

The Volkov Law Group

Profiles in Effective CEO Leadership

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One of the many great experiences I have been fortunate to have in my career is to meet some impressive leaders – at the Department of Justice, on Capitol Hill, and in corporations.  To focus on the latter, I have met some...more

BCLP

Keep Track of Perquisites and Related Person Transactions: Recent Sec Enforcement Actions

BCLP on

Over the past few years, the SEC has renewed its focus on public company failures to disclose perquisites  and related person transactions. As discussed under “Deeper Dive” below, most of the cases involve companies that...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - December 1st, 8:25 am - 3:00 pm CST

Discover how to set and accomplish your ESG goals - Environment, Social, and Governance (ESG) is no longer an isolated function within a company, nor is it an issue only for publicly traded companies. It’s front and center...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: September 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

WilmerHale

PCAOB Releases New Audit Committee Resource

WilmerHale on

The PCAOB recently released a new Audit Committee Resource, which sets forth questions that audit committee members may want to consider incorporating into their ongoing engagement with auditors. The categories of questions...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - April 26th, 7:55 am - 3:15 pm CDT

Discover how to set and accomplish your ESG goals - Environment, Social, and Governance (ESG) is no longer an isolated function within a company, nor is it an issue only for publicly traded companies. It’s front and...more

The Volkov Law Group

Building an ESG Structure and Program (Part II of III)

The Volkov Law Group on

Investor demand for companies to provide robust and transparent ESG information is growing quickly.  Investors understand that companies have to develop effective strategies to address ESG risks.  The impact on shareholder...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - November 16th, 8:25 am - 2:15 pm CST

Discover how to set and accomplish your ESG goals - Environment, Social, and Governance (ESG) is no longer an isolated function within a company, nor is it an issue only for publicly traded companies. It’s front and...more

Womble Bond Dickinson

Administration's Anti-Corruption Efforts Likely to Yield Greater FCPA Enforcement in Latin America and Beyond

Womble Bond Dickinson on

On June 3 of this year, the Biden Administration made plain its commitment to fighting corruption around the world, releasing a document identifying the fight against corruption “as an economic and national security priority”...more

Barnea Jaffa Lande & Co.

Compliance and Ethics in Corporations

The United States has been the global leader in the enforcement of anti-bribery and anti-corruption laws for several decades. The Foreign Corrupt Practices Act (FCPA) was enacted in the United States in 1977 in order to...more

Jones Day

SEC Enforcement in Financial Reporting and Disclosure: 2019 Mid-Year Update

Jones Day on

We are pleased to present our annual mid-year update on financial reporting and issuer disclosure enforcement activity for 2019. This White Paper primarily focuses on the U.S. Securities and Exchange Commission's enforcement...more

Thomas Fox - Compliance Evangelist

How Compliance Adds to the Bottom Line

I have long articulated that companies that have robust compliance programs are more efficient, better run and more profitable organizations. ...more

The Volkov Law Group

Time to Review and Revise Your Internal Controls (Part I of II)

The Volkov Law Group on

A company’s internal controls define the backbone of its operations, encompassing financial, operational and compliance functions....more

Thomas Fox - Compliance Evangelist

Joe Howell on the PCAOB, Audits and Compliance – Part I

I recently had the chance to visit with Joe Howell, the Executive Vice President (EVP) of Workiva LLC. Howell has been the Chief Financial Officer (CFO) of a number of public companies, mostly in the technology space, and...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Thomas Fox - Compliance Evangelist

Byzantium and the Alstom FCPA Settlement – Part III

Porphyry is a type of stone that was much favored in the Roman world. In a review of several books in the New York Review of Books, entitled “The Purple Stone of Emperors”, Peter Brown looked into the history of the lithic in...more

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