SEC Compliance Best Practices, 2010 Ed.: Leading Lawyers on Working with the SEC, Structuring Effective Compliance Programs, and Evaluating Securities Developments (Inside the Minds)

By in Securities on September 15, 2013

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SEC Compliance Best Practices provides an authoritative, insider’s perspective on the latest compliance and governance initiatives and their effect on enforcement. Featuring partners from some of the nation’s leading law firms, these experts analyze new legislative developments, proposed SEC reforms, and emerging compliance trends, and the impact these changes have on attorneys, clients, and compliance programs. These top lawyers also discuss the critical issues in today’s volatile securities climate, such as executive compensation, Ponzi schemes, control person liability, proxy access rules, and the renewed emphasis on the Sarbanes-Oxley Act. Additionally, these leaders reveal their strategies for interacting with enforcement agencies, understanding the lawyer’s role in compliance, and coping with the rapid pace of changing laws. The different niches represented and the breadth of perspectives presented enable readers to get inside some of the great legal minds of today, as these experienced lawyers offer up their thoughts around the keys to success within this ever-changing field.

Inside the Minds provides readers with proven business intelligence from C-Level executives and lawyers (Chairman, CEO, CFO, CMO, Partner) from the world’s most respected companies and firms nationwide. Each chapter is comparable to an essay/thought leadership piece and is a future-oriented look at where an industry, profession, or topic is heading and the most important issues for the future. Each author has been selected based upon their experience and C-level standing within the professional community.

Chapters Include:

1. Patricia O. Lowry, Partner, Taft Stettinius & Hollister LLP – “Directors under Fire: Recent and Proposed SEC Regulations That Could Change the 2010 Annual Meeting Landscape”
2. Alan H. Aronson, Shareholder, Akerman Senterfitt – “Fundamental Strategies for Corporate Governance and Regulatory Compliance”
3. Michael K. Lowman, Partner, Jenner & Block LLP – “Recent Enforcement Trends Underscoring the Need for Corporate Compliance”
4. Gregory J. Nowak, Partner, Pepper Hamilton LLP – “Strategies for New SEC Compliance Requirements” 5. John Tishler, Partner, Sheppard, Mullin, Richter & Hampton LLP – “Coping with the Changing World of Corporate Governance and Securities Compliance”
6. Alan K. MacDonald, Member, Frost Brown Todd LLC – “Small Companies: The Less Traveled (and Sometimes Unexpected) Paths to Going Public”
7. John C. Kirkland, Partner, Luce Forward Hamilton & Scripps LLP – “Practical Approaches to Securities Compliance Issues”

Appendices Include:

Appendix A: Form of 2010 Directors and Officers Questionnaire
Appendix B: Form of Risk Management Committee Charter
Appendix C: ABC Political Contribution Policy
Appendix D: Memo on the Consequences of Acting as an
Unregistered Broker Dealer Appendix E: Corporate Governance and Securities Compliance Checklist
Appendix F: Insider Trading Policy
Appendix G: Questions and Answers on Restricted Securities and Rule 144
Appendix H: Audit Committee Charter
Appendix I: Code of Ethics
Appendix J: Compensation Committee Charter
Appendix K: Insider Trading Policy
Appendix L: Nominating Committee Charter

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