This “case study” is the latest in a series of articles aimed at helping public companies understand how other organizations are using technology to comply with new regulations and standards. These are not advertisements or marketing vehicles for the companies mentioned; Compliance Week’s editorial staff speaks with the public company that has deployed the technology, […]
Technology
Posted inTechnology
Case Study: Section 16 Filing System For Skadden Arps
This “case study” is the latest in a series of articles aimed at helping public companies understand how other organizations are using technology to comply with new regulations and standards. These are not advertisements or marketing vehicles for the companies mentioned; Compliance Week’s editorial staff speaks with the public company that has deployed the technology, […]
Posted inTechnology
Technology Case Studies
A series of articles aimed at helping public companies understand how other organizations are using technology to comply with new regulations and standards.
Posted inEthics & Culture
Case Study: Ethics And Compliance Training At Alcoa
This “case study” is the latest in a series of articles aimed at helping public companies understand how other organizations are using technology to comply with new regulations and standards. These are not advertisements or marketing vehicles for the companies mentioned; Compliance Week’s editorial staff speaks with the public company that has deployed the technology, […]
Posted inAccounting & Auditing
Case Study: Financial Reporting System At Viasys
This “case study” is the latest in a series of articles aimed at helping public companies understand how other organizations are using technology to comply with new regulations and standards. These are not advertisements or marketing vehicles for the companies mentioned; Compliance Week’s editorial staff speaks with the public company that has deployed the technology, […]
Posted inBoards & Shareholders
Swingvote Takes On Proxy Voting Account Handler ADP
Come January, Swingvote—an Atlanta-based startup—plans to go head to head with ADP Investor Communications Services in the proxy voting service marketplace. Currently, the shareholder services group at $7.4 billion ADP holds a virtual monopoly for the distribution of proxy material. The development may be important to public companies, as it will impact costs associated with […]
Posted inTechnology
Where Are The Comment Letters? Don’t Hold Your Breath
Back in June, the SEC announced that it would make comment letters available to the public. Most of the letters, written by the Commission’s Corporation Finance and Investment Management divisions, provide public companies with comments on their disclosures, specifically noting where the filing could be improved or enhanced. The SEC’s plan was to release comment […]
Posted inInternal Controls
Electronic Records Retention: Getting It Right
The computer’s common use as an essential business tool, and the tremendous and exponentially increasing storage capacity of computer generated or recorded information has transformed the landscape of information retention and destruction. Now record retention regulations are becoming increasingly important to follow, and follow correctly and consistently. Certain regulations in particular illustrate this need, including […]
Posted inTechnology
Electronic Records Retention: Regulatory Overview
Below is a partial list of some of the key laws, regulations and standards that impact companies’ records-retention policies. Employment-Related Records Failure to maintain required employment records can turn baseless employee lawsuits against the company into litigation nightmares: Agencies and courts may choose to find, or instruct juries, that missing records should or may be […]
Posted inTechnology
Outline For Designing Records Retention Policies
Below is an outline that companies may want to consider when designing or reviewing records retention programs. Purpose of Program The primary goal of a records retention program is to effectively manage the information generated and received by the corporation and, thereby, reduce the expense and risk of liability associated with the maintenance of this […]