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Results: 1-10 of 22

New form of due diligence: relationships with compensation consultants
  • Blank Rome LLP
  • USA
  • January 24 2013

Due to recent SEC rulemaking,6 conflicts of interest with compensation consultants are at the forefront of disclosure issues in 2013 proxy season


Advice and insights for audit committees from the PCAOB Chairman
  • Blank Rome LLP
  • USA
  • November 30 2012

At the 2012 annual meeting of the Association of Audit Committee Members, James R. Doty, the Chairman of the PCAOB, spoke on recent PCAOB initiatives designed to enhance the relevance, credibility and transparency of the audit for the sake of investors


Insurance for compensation clawbacks? Not if H.R. 5860 becomes law
  • Blank Rome LLP
  • USA
  • July 16 2012

Both the Sarbanes-Oxley Act and the Dodd-Frank Act contain compensation clawback provisions


New SEC guidance on emerging growth companies
  • Blank Rome LLP
  • USA
  • October 31 2012

On September 28, 2012, the Securities and Exchange Commission (SEC) issued additional frequently asked questions (FAQs) as part of its guidance on Title I of the Jumpstart Our Business Startups Act (JOBS Act) related to emerging growth companies (EGCs


Over $85 million in FCPA fines and penalties announced in the past 90 days is it time to add an FCPA risk factor?
  • Blank Rome LLP
  • USA
  • October 31 2012

Recent deferred prosecution agreements and settlements remind us of the need to carefully consider disclosure issues relating to the Foreign Corrupt Practices Act (FCPA


NYSE proposes new rules related to compensation committee and committee adviser independence
  • Blank Rome LLP
  • USA
  • October 31 2012

The NYSE recently filed proposed rule changes with the SEC related to compensation committee independence and the hiring of compensation advisers


PCAOB’s failure to inspect your auditor is a risk factor
  • Blank Rome LLP
  • USA
  • May 31 2012

Under Sarbanes-Oxley, public company auditors are required to be registered with the Public Company Accounting Oversight Board


NASDAQ proposes to expand an exception to its corporate governance rules
  • Blank Rome LLP
  • USA
  • July 16 2012

Recently, NASDAQ proposed expanding an existing exception to its corporate governance rules to allow a non-independent director who is a family member of a non-executive employee of a listed company to serve on a listed company’s audit committee, compensation committee or nominating committee under exceptional and limited circumstances


SEC comments related to emerging growth companies
  • Blank Rome LLP
  • USA
  • July 16 2012

Since shortly after the JOBS Act became law, the SEC staff has been reviewing registration statements filed by emerging growth companies (EGCs


SEC approves FINRA rule relating to filing of private placements
  • Blank Rome LLP
  • USA
  • July 16 2012

Recently, the SEC approved, on an accelerated basis, FINRA Rule 5123 (the Rule