Lockheed settles, but Supreme Court to weigh firms' fund management practices
The marathon case Abbott v. Lockheed Martin, involving claims that Lockheed mismanaged its 401k plan, finally settled on December...
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Regulatory & compliance archive
Giving employees a deeper view of corruption
Last week was International Fraud Awareness Week (November 16-22), which reminded companies of how critical it is that they assess...
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Court ruling may force firms to provide reasons for opinions in securities filings
The anticipated decision in a securities law case now pending in the Supreme Court should drive companies to review and update the...
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FCPA enforcement distorts intent of law, expert says
Current enforcement practices of the Foreign Corrupt Practices Act are distorting the legal process and reducing the effectiveness...
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Conducting cross-border investigations: practical tips
The regulatory and investigative climate confronting multinational companies has never been more challenging. In cross- border...
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Designing a whistleblower policy to withstand retaliation claims
Corporations may need to reassess their retaliation policies now that the SEC has filed its first anti-retaliation enforcement...
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Walmart court ruling may create new risks for boards
Score one for shareholders. Delaware’s Supreme Court recently ruled that institutional investors should be allowed to inspect...
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Whistleblower retaliation, overtime rule key concerns for employers
Employers are increasingly troubled by actions by federal agencies such as the Department of Labor and the Equal Employment...
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SSA conference highlights unclaimed property risks, shareholder engagement
Amid Broomfield, Colorado’s majestic Rocky Mountains terrain, roughly 175 transfer agents, unclaimed property experts, corporate...
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Cutting the cost of transfer agents
As the registered shareholder base of 
publicly traded firms continues to shrink, many issuers are seeking ways to lower the costs...
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