AST to acquire proxy solicitation firm DF King
On May 27 American Stock Transfer & Trust Co. announced a definitive agreement under which its affiliate, AST Fund Solutions, will...
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Regulatory & compliance archive
SEC fines NYSE $4.5 million for violating its own rules
The SEC has fined the NYSE $4.5 mn for violating its own rules and failing to comply with its responsibilities as a self...
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Conflict minerals rule in question after court’s free speech ruling
Less than two months before the first reporting deadline, a federal appeals court ruling on April 14 has thrown into question how...
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Big changes may be in store for securities litigation, PwC study shows
One thing that is constant is change, and that applies to securities litigation and enforcement. According to PwC’s recently...
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The need for reform and uniformity in unclaimed property practices
Failure to comply with the labyrinth of unclaimed property statutes that vary not just by property type but also from state to...
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Unclaimed property basics
Unclaimed property is a gray area of business compliance that too often catches finance and accounting professionals by surprise...
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Employers must prepare for overtime overhaul
Given all the anticipatory publicity about expanding exempt workers’ access to overtime pay, President Obama’s announcement on...
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Possible impacts of the Noel Canning decision
The NLRB vs Noel Canning legal case will decide a basic separation of powers issue: when can the president make appointments...
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Unclaimed Property: ensuring compliance and retaining shareholders
Publicly traded companies are facing increasing pressure from state regulatory agencies and their contract auditors to report and...
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Supreme Court extends SOX whistleblower protections to private firms
If you work for a private company that contracts with public ones, the Supreme Court has decided you can safely blow the whistle...
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