The United States Securities and Exchange Commission issued a rule proposal that would enact new climate-related disclosure requirements on public companies, requiring disclosure of greenhouse gas emissions and the business
Continue Reading The SEC, Climate Change, and Disclosure: A Brave New World
Alerts
Delaware adopted new amendments to its General Corporation Law (DGCL) on July 16, 2020. Amendments to sections 102, 110, 116, 145, 212, 228,
Continue Reading Delaware General Corporation Law Updates Tackle COVID-19, Proxy Information and Emergency Provisions
Oksana Wright and Charles DeMonaco discuss the management and corporate compliance measures for the companies to prioritize during the time of cost-cutting and uncertainty:
https://www.corporatecomplianceinsights.com/corporate-compliance-during-covid-19/
Continue Reading Fox Rothschild’s Securities Industry Group Members Oksana Wright and Charles DeMonaco Publish Article on Corporate Compliance Measures During the Covid-19 Crisis
As proxy season approaches for a number of public companies, the Securities and Exchange Commission (SEC) and certain state authorities have taken steps to revise their current corporation laws or
Continue Reading SEC and States Provide Relief for Upcoming Proxy Season Due to COVID-19
FINRA has recently issued a notice to members regarding to the enhancement of confirmation disclosures. Here is a link to that notice.
Continue Reading FINRA Notice to Members; Enhanced Confirmation Disclosures
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations. These compliance topics
Continue Reading Compliance Issues The SEC Is Seeing
In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost? Are there situations where you
Continue Reading When just saying “no” is a good thing
The SEC recently created a new position associated with cybersecurity; senior adviser to the chair for cybersecurity (Christopher R. Hetner). Mr. Hetner has an extensive background in information technology and,
Continue Reading The SEC Now Has A Lead Cybersecurity Senior Adviser: Now What?
FINRA has identified that firm culture is in its cross-hairs. But what is firm culture?
Trying to figure out what’s meant by firm culture reminds of my law school days
Continue Reading Firm Culture; What Is It And Why Does FINRA Care
FINRA released its 2016 Exam Priorities yesterday, and its top priority ventures into a very grey area. FINRA has announced that beginning this year, it will formalize a process of
Continue Reading Why Does FINRA Want to Regulate Your Firm’s Culture?