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...
Regulatory & compliance archive
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...
Law firm questions SEC’s whistleblower plans
Attorneys at Kohn, Kohn & Colapinto have raised concerns that the SEC is at risk of undermining post-financial crisis efforts to...
CII lobbies directors over SEC’s transaction-fee pilot
The boards of almost 40 public companies face pushback over their apparent opposition to an SEC pilot scheme that would limit the...
The week in GRC: Papa John’s founder sues over board disclosures, and US guides on sanctions compliance
– The Wall Street Journal reported that the highest-paid CEO in the retail industry was Stephen Kaufer of the online travel...
