FCPA Compliance and Ethics Report-Episode 169-the First Mailbag Issue
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
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
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
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