Implementing governance reform
The massive financial overhaul bill recently signed into law by President Obama has been called the most sweeping set of financial...
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Regulatory & compliance archive
Clarifying FCPA cooperation benefits
It’s often said that what business hates most is uncertainty. Unfortunately, the current economic environment is very long on...
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Delaware updates unclaimed property rules
While all eyes have been on the massive Dodd-Frank Act, the state of Delaware has snuck through some changes to the unclaimed...
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SEC warns Moody’s and other ratings agencies
In a potentially ominous sign for credit ratings agencies, the SEC has disclosed that Moody’s Investor Services (MIS) narrowly...
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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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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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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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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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