NYSE opens comp committee exemptions to more companies
The SEC has approved changes to the NYSE’s listed company manual that will enable more smaller issuers to benefit from exemptions...
Regulatory & compliance archive
The week in GRC: Société Générale settles US sanctions allegations, and J Crew CEO steps down
– The New York Times reported that Nissan chair Carlos Ghosn was arrested on Monday after an internal company investigation...
Groups work on non-financial reporting standards alignment
Leading institutions in non-financial reporting – including the Sustainability Accounting Standards Board (SASB), the Climate...
SEC guides on tackling shareholder proposals
On October 23, 2018, the SEC’s Division of Corporation Finance published Staff Legal Bulletin No 14J (SLB 14J), providing...
CEOs back updated governance principles
The CEOs of major public companies and institutional investment firms have signed up to a revised set of principles designed to...
Why board resolutions mustn’t be forgotten
Recordkeeping can be a hassle: it costs money and time to maintain records. But it is a necessary and crucial part of every...
The week in GRC: SEC releases new strategic plan, and DoJ approves CVS plan to buy Aetna
– The Wall Street Journal reported that General Electric’s decision to replace its CEO with a relatively new board member prompted...
United Technologies settles FCPA action
United Technologies Corporation (UTC) has agreed to pay almost $14 million to settle allegations it violated the FCPA through...
SEC promotes senior enforcers
The SEC has named Anita Bandy and Carolyn Welshhans associate directors in the agency’s enforcement division. In their new roles...
Sanofi settles FCPA case for $25 million
French pharmaceutical company Sanofi has agreed to pay more than $25 million to resolve SEC charges that its Kazakhstan and Middle...
