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9780314276322

SEC Compliance Best Practices, 2011 Ed : Leading Lawyers on Managing Risks, Building and Maintaining Compliance Programs, and Understanding New Legislation (Inside the Minds)

  • ISBN13:

    9780314276322

  • ISBN10:

    0314276327

  • Format: Paperback
  • Copyright: 2011-04-01
  • Publisher: West Group

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Summary

SEC Compliance Best Practices is an authoritative, insider's perspective on key strategies for protecting clients from potential SEC investigations and suits. Featuring partners and chairs from some of the nation's leading law firms, these experts guide the reader through recent developments in U.S. Securities legislation, including an in-depth look at the Dodd-Frank Act. From understanding the new legislation and current cases to developing and implementing a thorough compliance program, these authors provide a strategic look into some of the most pressing issues for securities practitioners today. These top lawyers discuss matters that will be vital for attorneys to understand, such as risk governance, disclosure obligations, and whistleblower protections. Additionally, these leaders reveal their strategies for helping clients create effective, up-to-date policies and enforcement guidelines that will minimize risk. 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 navigating this ever-evolving area of law.

Table of Contents

Dodd-Frank Act Bounties for Whistleblowersp. 7
Recent Developments in SEC Enforcement Tools and Ramifications for Compliance Programsp. 23
Developing an Effective SEC Compliance Program in a Time of Increased Regulatory Scrutinyp. 39
Navigating the Thorny Path of Corporate Compliance in the Wake of Dodd-Frankp. 53
Disclosure Best Practices and Risk Oversight: New Considerations in the Era of Dodd-Frankp. 71
Appendicesp. 113
Table of Contents provided by Ingram. All Rights Reserved.

Supplemental Materials

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