CLSA claims returns linked to governance
Math whizzes at CLSA Asia-Pacific Markets are the latest people to claim to have found a direct positive relationship between...
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Regulatory & compliance archive
SEC concept release: new rules - now what?
The SEC has been chewing over issues related to the way investors vote their shares in
public companies for at least the last two...
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International: winning the multinational compliance war
Successfully implementing an effective compliance and ethics program is similar to achieving victory in a military campaign: it’s...
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AST expands into Canada and steps into proxy services
Continuing its aggressive expansion, American Stock Transfer (AST) has expanded its operations into Canada by announcing the...
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Financial reform: picking up the bill
‘The making of laws is like the making of sausages: the less you know about the process, the more you respect the results.’ The...
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Regulation: Free Enterprise suit a hollow victory
Detractors of the Sarbanes-Oxley Act (SOX), and in particular the PCAOB, which was born out of the 2002 legislation, have pitched...
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International: changes on the horizon for European governance
A new European Commission (EC) Green Paper has launched a summer of debate on corporate governance at financial institutions, and...
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Securities act update
National Instrument 31-103, now almost a year old, has several provisions that take effect in the next month or two after a long...
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Anti-corruption measures
It is not just US firms that have to worry about being punished for bribery activity in international jurisdictions. This is the...
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Regulating ratings agencies
In a 2002 settlement with Eliot Spitzer, Merrill Lynch paid $100 million in fines because the firm’s research analysts allegedly...
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