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Your search for posts categorized by "Compliance" has returned 156 results

November 19, 2021

Directors Challenged to Respond to New DOJ Corporate Fraud Initiative

The US Department of Justice’s new policy on corporate fraud enforcement and individual acc...

By Michael W. Peregrine

November 10, 2021

New SEC Release Revives Complex Issue of Clawbacks

The US Securities and Exchange Commission has reopened comments on its originally proposed rule o...

By Alexandra R. Lajoux

October 5, 2021

SEC Commissioner Elad Roisman to Directors: ‘My Door Is Open’

In a fast-paced conversation with NACD president and CEO Peter R. Gleason that closed out the fir...

By Dylan Sandlin

August 26, 2021

Are Universal Proxies in the Cards for 2022?

One significant SEC development important to directors this year is the revival of a previously p...

By Alexandra R. Lajoux

August 24, 2021

Climate Governance Must Include Lobbying Oversight

This proxy season, five winning shareholder proposals asked companies to report on how their lobb...

By Margaret Fleming and Melissa Paschall

August 9, 2021

SEC Approves New Nasdaq Rule on Board Diversity Disclosures

The SEC on Friday approved Nasdaq’s listing rule, proposed in December 2020, that requires ...

By Alexandra R. Lajoux

July 27, 2021

What Directors Should Know About Wage-Fixing and No-Poach Agreements

Directors should expect to see further regulation as a result of a recent executive order promoti...

By Ashley Eickhof and Jeffrey Martino

July 8, 2021

Regulators Are Moving Quickly on Climate Risk: How Boards Can Prepare

Given the increasing focus on physical, transition, and especially regulatory climate risks, what...

By Melissa Paschall and Steven M. Rothstein

July 6, 2021

Surge in Whistleblower Complaints Should Prompt Compliance Checkups

Boards should consider taking action following updates to the SEC program and a record year for t...

By Brad Mroski, Ted Stafford, and Lindsay Redman

June 23, 2021

For SPACs, an Ounce of Liability Prevention Is Worth a Pound of Cure

In light of the SEC’s recent crackdown on SPACs, as well as congressional attention and the inevi...

By Perrie M. Weiner