SEC Threats Don’t Help In-house Bar Prevent Retaliation 4/7/2014
Tag: SEC
The SEC’s Division of Corporate Finance meets with ACC members
Guest blogger: Lily Hughes is VP & Associate General Counsel of Ingram Micro Inc., a Fortune 100 global leader in IT distribution, mobile device lifecycle services and logistics solutions. Lily advises the company’s senior executives and business teams on corporate securities and regulatory requirements, corporate governance, finance & treasury matters, investor relations and communications, tax, executive compensation, mergers & acquisitions, equity plans, and strategic vendor and customer agreements.
Even without a permanent director, the Securities and Exchange Commission’s Division of Corporate Finance is clear on its priorities and the work it plans to finish. On Friday, May 10, 2013, ACC Advocacy and the Corporate and Securities Law Committee hosted our annual ACC-members only meeting with the Division. Continue reading
It’s a Buyers’ Market — Let’s Treat It that Way in the Courts
ACC filed an amicus letter with a federal court in Manhattan on Friday, March 15, joining a protest against the plaintiffs’ lawyers inappropriately marking up fees for temp lawyers (also known as contract lawyers). Just as in a real estate … Continue reading
ACC MEMBERS MEET WITH SEC
Guest blogger: Arden T. Phillips is corporate secretary and governance officer of WGL Holdings, Inc. and its natural gas utility subsidiary, Washington Gas. He is a past Chair of ACC’s Corporate and Securities Law Committee and now serves as its … 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
ACC Disagrees with SEC Final Rule on Dodd-Frank Whistleblower Provisions
At an open meeting this morning, the Securities and Exchange Commission discussed its ruling on whistleblowing provisions of the Dodd-Frank legislation, which allows bypassing of internal compliance systems. ACC, in a press release, voices its strong disagreement with the SEC … 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
ACC Files Comments with House Financial Services Committee re: Dodd-Frank Whistleblower Provisions
In a letter filed with the House Financial Services Committee, ACC noted that it strongly supports draft legislation that would require employees to report internally, subject to limited exceptions. The SEC and CFTC have proposed rules that would permit employees … Continue reading
ACC Files Comments with SEC re: Dodd-Frank Whistleblower Regs Proposal
Today ACC filed followup comments with the Securites and Exchange Commission regarding proposed regulations, related to the Dodd-Frank Bill, that bypass the internal compliance systems designed to handle employee reports that are critical to addressing emerging problems. Earlier this week … Continue reading
ACC Statement – Impact of Supreme Court Ruling On Sarbox in Free Enterprise v. PCAOB
June 29, 2010 – The Supreme Court decided they did not need to invalidate the Sarbanes-Oxley Act over a flaw in a small provision due to a lack of a severability clause. ACC comments
