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1
Does Proxy Access Create Leverage—Even If No One Uses It?
Thanks to thecorporatecounsel.net for catching this announcement from NYC Comptroller Scott Stringer and the NYC Retirement Systems, which reported that, since the inception of the Comptroller's "Boardroom Accountability Project," ...
United States
18 Oct 2019
2
Mylan Settles SEC Charges For Disclosure And Accounting Failures Arising Out Of DOJ Investigation
At the end of September, the SEC announced that it had filed a complaint in federal court charging pharma Mylan N.V. with failing to timely disclose in its financial statements the "reasonably possible" material losses ...
United States
16 Oct 2019
3
UK Companies: Guide To Granting Share Options In The US
This alert serves as a guide for UK and non-US clients wishing to grant options to employees and other service providers in the US.
UK
16 Oct 2019
4
How Have Companies Adapted To CAMs?
Among the issues considered were the impact of "dry runs," changes to company disclosures and changes in controls.
United States
10 Oct 2019
5
Strine Proposes To Reform The Corporate Governance System
Who else but Delaware Chief Justice Leo Strine would bid his farewell to the Delaware bench with nothing less ambitious than a "comprehensive proposal to reform the American corporate governance system".
United States
8 Oct 2019
6
SEC Charges PwC With Independence Violations
Last week, the SEC announced settled charges against PwC and one of its audit partners for violations of the auditor independence rules.
United States
3 Oct 2019
7
Corp Fin Revamp
As part of the new realignment, companies have been reassigned to one of seven new industry-focused offices.
United States
3 Oct 2019
8
Will Corp Fin's New Policy For Addressing Shareholder Proposals Lead To More Litigation?
You may recall that, earlier this month, Corp Fin announced that it had revisited its approach to responding to no-action requests to exclude shareholder proposals.
United States
2 Oct 2019
9
SEC Levels Playing Field: Any Company Will Now Be Able To "Test The Waters"
The new rule will become effective 60 days after publication in the Federal Register.
United States
2 Oct 2019
10
SEC Commissioners Testify To House Committee
These hearings are, of course, broken up into bite-size five-minute Q&A sessions, so there is not much opportunity for in-depth questioning.
United States
30 Sep 2019
11
SEC Charges Nissan And Former CEO With Fraud For Concealing Compensation
Nissan trades primarily on the Tokyo Stock Exchange, does not have a class of securities registered with the SEC or file reports with the SEC.
United States
27 Sep 2019
12
Failure To Disclose "Revenue Management Scheme" Leads To SEC Action
In this Enforcement Order, the SEC described a "revenue management scheme" orchestrated by the respondent, Marvell Technology Group, and the imposition on Marvell of a $5.5 million penalty and cease-and-desist order—
United States
23 Sep 2019
13
LIBOR Phase-Out: FASB To The Rescue (Sort Of)
You may recall that, for a while now, the SEC has been actively warning about risks associated with the LIBOR phase-out, which is expected to occur in 2021.
United States
23 Sep 2019
14
SEC's OCA Updates Auditor Independence FAQs
The SEC's Office of Chief Accountant has updated its FAQs regarding auditor independence. The new and revised questions relate to the general standard for independence
United States
19 Sep 2019
15
United States
12 Sep 2019
16
Corp Fin Changes Approach To Responding To No-Action Requests To Exclude Shareholder Proposals
The staff will continue to actively monitor correspondence and provide informal guidance to companies and proponents as appropriate.
United States
10 Sep 2019
17
SEC's Investor Advisory Committee Adopts "Proxy Plumbing" Recommendations
The changes are fairly nuanced, now also including some minority views.
United States
10 Sep 2019
18
Deloitte Looks At First Round Of Cams
AS 3101, the new auditing standard for the auditor's report that requires disclosure of critical audit matters, is effective for audits of large accelerated filers for fiscal years ending
United States
6 Sep 2019
19
A New Shareholder Proposal Regarding Firearms—Is It Just The Beginning?
In a post last month, I noted that, notwithstanding the growth in the number of shareholder proposals related to corporate social responsibility, for the 2019
United States
6 Sep 2019
20
It's Been Eons Since The SEC Last Did This—Brought A Reg FD Enforcement Action, That Is
Reg FD prohibits selective disclosure of material, nonpublic information by public companies (or by its senior officials or specified other employees)
United States
4 Sep 2019
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