ACC and its FInancial Services Committee are pleased to announce an ACC-members only regulator meeting with the Consumer Financial Protection Bureau (CFPB). Borne from the 2010 Dodd-Frank law, the CFPB is charged with implementing and enforcing consumer financial law. With almost … Continue reading
Tag: Compliance
A Word on Compliance … From the Enforcers
In an effort to improve both enforcement practices and corporate compliance efforts, the Ethics Resource Center hosted a Policy Summit on Feb. 12, 2013, called “Improving Corporate Conduct through Pro-Compliance Enforcement Practices.” ACC Advocacy staff attended the summit, as part … Continue reading
ACC roundtable with DOJ and SEC regarding FCPA compliance
On May 24th, the Department of Justice and the Securities and Exchange Commission will be conducting an ACC-only roundtable regarding FCPA compliance and enforcement issues. As you may know, the DOJ and the SEC plan to issue joint guidance regarding … Continue reading
Congress and ACC Tackle SEC Whistleblower Bounty Program
Today, the House Financial Services Committee heard testimony regarding its draft legislation rejecting the SEC and CFTC’s proposals to bypass internal compliance and reporting systems when rewarding prospective whistleblowers. ACC filed a letter with the Committee, approving of the draft … Continue reading
In Comments to SEC, ACC Committee Supports Improvements to Notice and Access Process
In a November 20 letter to the U.S. Securities and Exchange Commission, the ACC Corporate and Securities Law Committee (CSLC) comments on the SEC’s Proposed Rule amending rules on internet availability of proxy materials. Among other changes, the Committee recommends … Continue reading
Corporate and Securities Committee Comments On SEC’s Proposed Proxy Disclosure/Solicitation Rules
ACC’s Corporate and Securities Committee (CSL), in a letter filed September 15th, registered concerns over several aspects of the Securities and Exchange Commission’s proposed Proxy Disclosure and Solicitation Enhancements. SEC proposals include enhanced compensation disclosures, director and nominees disclosures, disclosures … Continue reading
SEC Releases New Guidance Manual Reflecting Increased Protections of Privilege
Oct 7, 2008 – In yet another positive development in the fight to protect privilege in corporate investigations, the SEC posted on its website a new Enforcement Manual for guidance to investigatory staff. This new guidance closely tracks the protections … Continue reading
