Sec Compliance Best Practices 2014

SEC Compliance Best Practices provides an authoritative, insiders perspective on assisting clients in dealing with the Securities and Exchange Commission.

SEC Compliance Best Practices provides an authoritative, insiders perspective on ensuring clients understand and comply with SEC regulations. Featuring partners from law firms around the nation, these experts guide the reader through the process of building, maintaining, and updating effective compliance programs. From understanding disclosure guidelines and whistleblower bounties to evaluating proxy access policies, these top lawyers discuss the latest rules and proposals in SEC compliance and offer insights for avoiding investigations. Additionally, these leaders examine the current and future effects of the Foreign Corrupt Practices Act, and suggest proactive ways to respond. 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.

SEC Compliance Best Practices provides an authoritative, insiders perspective on assisting clients in dealing with the Securities and Exchange Commission.

SEC Compliance Best Practices is an authoritative, insider's perspective on recent Securities and Exchange Commission changes to compliance and disclosure requirements. Featuring partners and chairs from some of the nation's leading law firms, these experts explore the current trends in compliance and disclosure, offer their insight on amendments to SEC regulations, and share their advice for assisting clients in adapting to these new regulations. Illustrating the legal framework for interpreting new compliance and disclosure issues, the authors walk the reader through a variety of new SEC initiatives and provisions that may impact their clients' business models and provide suggestions for assisting companies in their SEC reporting obligations. Additionally, these leaders reveal their tips for tracking and monitoring new rules and trends and helping clients implement effective internal auditing to avoid potential fraud. 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 area of law.

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 nations 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.

The Regulation of Securities: SEC Compliance and Practice, 2003 Edition is a comprehensive guide to understanding and complying with the day-to-day requirements of the federal securities laws. Using a question and answer format similar to that which the SEC has embraced, this guide provides public corporations, lawyers, and accountants, As well as company officers, directors, and large shareholders with straightforward answers To The most frequently asked questions on securities regulation, and convenient access To The relevant rules, procedures, caselaw, and forms. The 2003 Edition significantly expands and updates the previous Edition and includes chapters on: Introduction to securities regulation, including the modernized EDGAR system Periodic reporting under sections 13(a) and 15 (d) Reporting of beneficial ownership under sections 13(d) and 13(g) Insider reporting under section 16(a) Short-swing trading and exemptions under section 16(b) Tender offer disclosure requirements Proxy solicitations under section 14(a) Securities fraud under Rule 10b-5 Use of electronic media Selling restricted and control securities under Rule 144 Private resales to institutional investors under Rule 144A Going private transactions under Rule 13e-3 and a special supplement on Sarbanes-Oxley and related developments!

In a world of ever-increasing complexity, Modern Compliance is the new industry standard for thehard facts and soft skills of compliance best practices. It is written to help understand the internalcontrol structures and ethical considerations necessary to navigate one of the most challengingroles in American business today: Chief Compliance Officer at a financial services firm. It bringstogether the scholarship of 30 of the best known professionals in the Compliance arena, each ofwhom is a well-recognized leader in his or her area of practice.