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9780314926722

Sec Compliance Best Practices, 2010 Edition: Leading Lawyers on Working With the Sec, Structuring Effective Compliance Programs, and Evaluating Securities Developments (Inside the Minds)

by
  • ISBN13:

    9780314926722

  • ISBN10:

    0314926720

  • Format: Paperback
  • Copyright: 2010-03-01
  • Publisher: West Group

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Summary

SEC Compliance Best Practices provides an authoritative, insider's perspective on the latest compliance and governance initiatives and their effect on enforcement. Featuring partners from some of the nation's leading law firms, these experts analyze new legislative developments proposed SEC reforms, and emerging compliance trends, and the impact these changes have on attorneys, clients, and compliance programs. These top lawyers also discuss the critical issues in today's volatile securities climate, such as executive compensation. Ponzi schemes, control person liability, proxy access rules, and the renewed emphasis on the Sarbanes-Oxley Act. Additionally, these leaders reveal their strategies for interacting with enforcement agencies, understanding the lawyer's role in compliance, and coping with the rapid pace of changing laws. The different niches represented and the breadth of perspectives presented enable readers to get inside some of the great legal minds of today, as these experienced lawyers offer up their thoughts around the keys to success within this ever-changing field.

Table of Contents

Directors Under Fire: Recent and Proposed Sec Regulations That Could Change the 2010 Annual Meeting Landscapep. 7
Fundamental Strategies for Corporate Governance and Regulatory Compliancep. 27
Recent Enforcement Trends Underscoring the Need for Corporate Compliancep. 35
Strategies For New Sec Compliance Requirementsp. 55
Coping With the Changing World of Corporate Governance and Securities Compliancep. 73
Small Companies: The Less Traveled (And Sometimes Unexpected) Paths to Going Publicp. 103
Practical Approaches to Securities Compliance Issuesp. 125
Appendicesp. 151
Table of Contents provided by Ingram. All Rights Reserved.

Supplemental Materials

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