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Certificates of Compliance Securities and Exchange Commission (SEC)

Society of Corporate Compliance and Ethics...

[Webinar] Great Expectations: CEO and CCO Certifications of Ethics & Compliance Program Effectiveness - January 30th, 12:00 pm -...

Learning Objectives: - Participants will have a better understanding of how the CEO and CCO certification of compliance program effectiveness came to be. - Participants will learn about example cases where DOJ and SEC...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments

Foley & Lardner LLP on

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

Baker Donelson

Small Business Securities Bulletin - SEC Approves Nasdaq Rule Addressing Compensation Committees, Consultants

Baker Donelson on

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. Final Nasdaq Rule - In our October 2012 Bulletin, we discussed The NASDAQ Stock Exchange LLC’s...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

The DOJ And SEC Issue Their Comprehensive Guide To The U.S. Foreign Corrupt Practices Act

General Counsels, Chief Executive Officers, Chief Financial Officers, and Corporate Secretaries of U.S. publicly-traded companies across the country must take individual responsibility for the accuracy and completeness of...more

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