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Commentary, Guidance & Resources
Below is some of the most recent commentary and guidance published by members of the corporate, legal, accounting and regulatory communities. Checklists, questionnaires and other resources are also available. Contact editor@complianceweek.com to have your commentary considered for inclusion.
Subscribers: Can we help you find best practices or guidance?
Email us at info@complianceweek.com and we'll track it down for free. Note: The documents above are published by third parties, and therefore do not reflect the views of Compliance Week or Financial Media Holdings Group. Inclusion in the list above should not be viewed as an endorsement of the content or the authors and organizations who have published that content. In addition, most of the documents above are memorandums and commentary that should not be regarded as legal advice. Contact editor@complianceweek.com to have your commentary considered for inclusion.
Below is some of the most recent commentary and guidance published by members of the corporate, legal, accounting and regulatory communities. Checklists, questionnaires and other resources are also available. Contact editor@complianceweek.com to have your commentary considered for inclusion.
| Topic | Brief Description |
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| Analyst Rules and Independence | Explores issues related to analyst conflicts of interest, including immediate impact and recommendations for best practices. |
| Attorney Code of Conduct | Guidance related to requirement for corporate counsel to report illegal activities "up the ladder" within the company. |
| Auditor Independence | Details on the new rules and requirements that attempt to ensure that audit committees assist in assuring auditor independence. |
| Boards, Directors & Committees | Practical suggestions for boards and committees to consider regarding reporting and oversight, including "financial expert" issues. |
| Calendars & Schedules | Includes calendars of Sarbanes-Oxley effective dates, SEC filing deadlines, recommended schedules for boards, and more |
| Certification Requirement | Details new exposure to civil liability, addressing key questions like, "What steps should I take before I sign off?" |
| Code of Conduct and Ethics | Guidance reviews corporate ethics rules and discusses programs and systems in response to sentencing guidelines. |
| Corporate Governance, General | Provides governance best practices, as well as comprehensive recommendations on overall Sarbanes-Oxley compliance. |
| Directors & Officer Insurance | An overview of D&O insurance, including guidance on how to ensure adequate coverage for the new demands under Sarbanes-Oxley. |
| Disclosure Controls | Memoranda and information on effective disclosure controls and how to implement them, including checklists for developing and evaluating. |
| Earnings, Accounting, "Reg. G" | Guidance on issues related to use of non-GAAP, "Regulation G," MD&A, off-balance sheet arrangements and related rules & proposals. |
| Exchange (SRO) Proposals | Memoranda focusing on exchange-specific proposals and regulations, addressing issues facing NYSE, Nasdaq- and AMEX-listed companies. |
| Executive Compensation | Commentary summarizes the impact of the Sarbanes-Oxley Act on public company executive compensation and offers best practices. |
| Fair Disclosure, Proxies & Meetings | Guidance on Regulation FD, proxy statement rules, and periodic report requirements, as well as annual meeting best practices. |
| Foreign Issuers | Memoranda and guidance outlining the key provisions of the Sarbanes-Oxley Act that affect foreign corporations. |
| Governance Charters | Thousands of corporate board charters, including those from governance, audit and compensation committees. |
| Insider Trading and Section 16 Issues | Guidance focused on restrictions on insider trading during pension fund blackout periods and related issues. |
| Internal Controls | Columns and insights from leading experts, as well as primers, checklists, and other resources. |
| Investigations and Cooperation | Provides tips for creating and implementing effective compliance programs to reduce the severity of SEC enforcement action. |
| Sarbanes-Oxley, General | Comprehensive recommendations on Sarbanes-Oxley compliance, as well as effective dates and regulatory updates. |
| Stock Option Expensing | Overview of the stock option expensing debate, with guidance on best course of action and how to prepare for stock option expensing. |
| Whistleblower Protections | Outlines the whistleblower provisions of the Sarbanes-Oxley Act, and comments on the ramifications and practical implications of the law. |
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Email us at info@complianceweek.com and we'll track it down for free.