News & Analysis as of

Securities and Exchange Commission (SEC) Publicly-Traded Companies Chief Compliance Officers

Brownstein Hyatt Farber Schreck

PCAOB Standards Amendments Could Increase Auditor Responsibilities

In early June, the Public Company Accounting Oversight Board (“PCAOB” or “the Board”) proposed comprehensive amendments that impact how auditors consider noncompliance with laws and regulations, creating the possibility of a...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

Society of Corporate Compliance and Ethics...

[Event] Regional Compliance & Ethics Conference - March 28th, Phoenix, AZ

Looking for compliance training and networking in your area? SCCE’s Regional Compliance & Ethics Conferences offer practitioners convenient, local compliance training, including updates on the latest news in regulatory...more

NAVEX

It's Time To Address Climate Change Risks: Regulations to Come

NAVEX on

Corporations have reached a tipping point on climate change. They understand that requirements are coming for new disclosures about climate change risk, and fighting such regulation is a fruitless effort. So the challenge...more

McDermott Will & Emery

Corporate Law & Goverance Update - January 2020

McDermott Will & Emery on

Given evolving Delaware law, understanding the difference between “risk oversight” and “risk management” is an increasingly important board task. In the Marchand and Clovis decisions, the Delaware courts sent an important...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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, CFTC and UK/EU/Brexit Developments

SEC/CORPORATE - SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements - On August 17, the Securities and Exchange Commission announced the adoption of proposed rule amendments (Amendments) to...more

King & Spalding

The SEC’s Customer Protection Rule Initiative and Whistleblower Protection Efforts – What Broker-Dealers Need to Know

King & Spalding on

On June 23, 2016, the SEC instituted a settled enforcement action against Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch Professional Clearing Corp. (collectively, “Merrill”), in which Merrill agreed to pay $415...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

Allen Matkins

Implementation Issues Abound For The SEC’s Proposed Clawback Rules

Allen Matkins on

When adopted, the incentive compensation clawback rules recently proposed by the Securities and Exchange Commission are likely to present issuers with a number of implementation challenges. Some of these challenges have been...more

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