Regulatory Enforcement

A panel created to give input to the Securities and Exchange Commission on investor concerns approved its first recommendations last week, which aim to improve dialogue between investors and boards and to make proxy voting by institutional investors more transparent. At its Feb. 22 open meeting, the SEC Investor Advisory Committee approved two recommendations put […]

Internal investigations are an indispensable part of a robust compliance program. When faced with potential misconduct, a company must have the right processes to manage an investigation to resolution. Moreover, the investigation must facilitate a resolution without compounding risk to the company. The company (or its agents) cannot cross any applicable ethical or legal boundaries. […]

As part of its ongoing service to subscribers, Compliance Week occasionally publishes “The List:” rankings of industry information useful to compliance, governance, and financial reporting executives. The List is a benchmark to let you know who the biggest, most notable, fastest-growing, or most influential players in corporate compliance are. This month features a list of […]

We’ve got quite a week of compliance and governance news coming up this week, folks. I can’t recall the last time we’ve seen so many different stars in our particular universe align, so perhaps it’s worth drafting a scorecard for the week: Shareholder activism and disclosure. Remember that investor advisory committee the Securities and Exchange […]

Matthew Goldstein of Reuters has an interesting article out today profiling Dan Hawke and the SEC’s resurgent Philadelphia office. The Philadelphia office–which Goldstein notes “sits atop an upscale shopping mall in downtown Philadelphia”–is now Ground Zero for the SEC’s new effort against market abuse. On January 13, 2010, Hawke was named as Chief of the […]

Regulation FD and proxy voting transparency will be among the topics of discussion next week by a panel tasked with advising the Securities and Exchange Commission on investor concerns about securities market issues. The Investor Advisory Committee, co-chaired by Richard Hisey from AARP Financial and Hye-Won Choi from TIAA-CREF, was formed last June to give […]

If you haven’t done so lately, now would be a good time to review your antitrust compliance program. Regulators are making good on their promise to reinvigorate antitrust enforcement, experts say. For the past year, the Obama Administration and its various antitrust enforcement agencies (principally the Justice Department and the Federal Trade Commission) have warned […]

The increasing trend of cooperation between U.S. law enforcers and regulators and their overseas counterparts got another boost recently, with new agreements now in effect with the European Union that make it easier to extradite people charged with transnational crimes and allow more information sharing. The U.S. Department of Justice announced 56 agreements, effective Feb. […]