Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Board of Directors
The Evolving Role And Expectations Of The Chief Ethics And Compliance Officer
The role of the chief ethics and compliance officer has evolved to become a vital member of the senior management team in many organizations. During the 2012 Global Ethics Summit, an event focused on providing insight and best practices in the continually changing regulatory environment worldwide...
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New Swap Data Recordkeeping And Reporting Rules
The Commodity Futures Trading Commission has issued a final rule[1] regarding reporting and recordkeeping with respect to swaps. The effective date of the rule is March 13, 2012; compliance dates are dependent upon the completion of other CFTC rulemakings. I. Reporting Of Swaps A....
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Avoiding Emerging Climate Change Pitfalls: What Directors And Officers Need To Consider
Corporate officers and directors face an array of risks arising from climate change. The most salient at this point would appear to involve disclosure obligations and flooding associated with rising sea levels – including liability associated with such flooding. Coastal flooding reportedly...
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