NYSE relieves companies of proxy material mailing requirements
Companies grappling with the stress and workload of the proxy season got a little good news earlier this month when the SEC gave...
Regulatory & compliance archive
How to protect against subsidiary liability
Companies both large and small enter new ventures all the time. Netflix was originally a DVD delivery service, Amazon sold only...
SEC’s Jackson warns about mandatory arb in IPOs
A top securities regular has warned against allowing companies that are going public to use the process to force shareholders to...
Mifid II: US small caps said to eye paid-for research
Increasing numbers of small-cap companies in the US are considering commissioning research in an effort to offset any negative...
Why companies may have to pay ex-directors’ legal fees
For a company, suing a former director or officer for theft of trade secrets raises a series of thorny questions. Among these is...
CEO pay ratios highest at large multinationals, study finds
With the SEC’s pay ratio rule now in effect for US public companies, new research from Equilar suggests that large disparities...
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The week in GRC: SEC blocks CHX sales to Chinese investors, Avis Budget faces board seat tussle
– Bloomberg reported that Norway’s $1 trillion sovereign wealth fund – the world’s largest – signaled it will get tougher in...
The week in GRC: SEC issues 2018 exam priorities, and Wynn Resorts’ board faces pressure
– The Wall Street Journal reported that the Federal Reserve’s unprecedented move to curb growth at Wells Fargo sent a message that...
Governance award winner embodies evolving role
A key development for governance professionals in recent years has been that compliance, risk management and strategic issues are...
How technology enhances Eli Lilly’s ethics and compliance program
Eli Lilly & Co has a team of 150 ethics and compliance people around the world, tasked with the mission of driving the integration...
