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Sec Compliance Best Practices 2013: Leading Lawyers on Understanding New Regulations and Developing Compliance Strategies (Inside the Minds) - Softcover
Synopsis
SEC Compliance Best Practices provides an authoritative, insider's perspective on assisting clients in dealing with the Securities and Exchange Commission. Featuring top partners and chairs from across the country, this book discusses the latest trends in the practice area, including the impact of the financial crisis, recent developments in say-on-pay guidelines, and new regulation involving whistleblowing. These top lawyers consider the challenges of establishing and maintaining compliance programs, such as communicating with stakeholders, allocating resources, and testing effectiveness. Additionally, these leaders discuss best practices or interacting with members of the SEC to ensure clients' compliance. 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 field.
Inside the Minds provides readers with proven business and legal intelligence from leading C-Level executives and lawyers. Each chapter offers thought leadership and expert analysis on an industry, profession, or topic, providing a future-oriented perspective and proven strategies for success. Each author has been selected based on their experience and C-Level standing within the business and legal communities.
Chapters Include:
1. Heather L. Traeger, Partner, O'Melveny & Myers LLP - "Understanding and Complying with New SEC Rules and Regimes"
2. Matthew G. Nielsen, Partner, Andrews Kurth LLP - "A New World in SEC Compliance and the Fundamentals to Face the Challenges"
3. Steven Khadavi, Partner, Dorsey & Whitney LLP - "The Additional Burdens of New Legislation on Businesses"
4. Bridget M. Moore, Partner, Baker Botts LLP - "Creating Effective FCPA Compliance Programs: An Overview"
5. Manuel G. Rivera, Senior Counsel, Norton Rose Fulbright - "Staying Ahead of the Curve in Complying with Current and Anticipated Securities Regulations"
Appendices Include:
Appendix A: Release No. 468, Release No. ID - 468, 2012 WL 4044882 (S.E.C. Release No.)
Appendix B: 17 C.F.R. § 275.204-4
Appendix C: 17 C.F.R. § 275.204(b)-1
Appendix D: FINRA Manual Rule 3130
Appendix E: 17 C.F.R. § 275.206(4)-7
Appendix F: Release No. 67934, Release No. 34-67934, 2012 WL 4459317
"synopsis" may belong to another edition of this title.
- PublisherAspatore Books
- Publication date2013
- ISBN 10 0314289488
- ISBN 13 9780314289483
- BindingPaperback
- Number of pages172
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