Responsibilities Of Corporate Officers And Directors Under Federal Securitirs Law
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Author | : N. Peter Rasmussen |
Publisher | : Aspen Publishers |
Total Pages | : 0 |
Release | : 2010 |
Genre | : Directors of corporations |
ISBN | : 9780808025740 |
Responsibilities of Corporate Officers and Directors under FederalSecurities Law alerts board members and management to their personalduties and liabilities under the federal securities laws. From the vast bodyof federal laws, rules, administrative interpretations, and court decisionsdealing with securities offerings and transactions, those of particularinterest to corporate officers and directors as individuals are discussedhere. The materials focus on the Securities Act of 1933 and theSecurities Exchange Act of 1934, as well as pertinent provisions of theInvestment Company Act of 1940.The 2010 -2011 Edition includes new discussion of the following:Dodd-Frank Wall Street Reform and Consumer Protection ActShareholder access to proxiesSEC enforcementRecent case law on fraud liabilityProxy disclosure concerning Chairman-CEO role, hedging arrangements,compensation consultants
Author | : CCH Incorporated |
Publisher | : CCH Incorporated |
Total Pages | : 400 |
Release | : 2005-11 |
Genre | : |
ISBN | : 9780808014041 |
Discussion of federal securities laws and Securities and Exchange Commission rules that impose personal duties and liabilities on public company officers and directors.
Author | : Anne Sherry |
Publisher | : |
Total Pages | : 423 |
Release | : 2017 |
Genre | : Corporate governance |
ISBN | : |
Author | : CCH Incorporated |
Publisher | : Aspen Publishers |
Total Pages | : 0 |
Release | : 2009-09 |
Genre | : |
ISBN | : 9780808022626 |
Responsibilities of Corporate Officers and Directors Under Federal Securities Law alerts board members and management to their personal duties and liabilities under the federal securities laws. From the vast body of federal laws, rules
Author | : James Hamilton |
Publisher | : |
Total Pages | : 260 |
Release | : 1999 |
Genre | : Directors of corporations |
ISBN | : 9780808003878 |
Author | : James Hamilton |
Publisher | : Aspen Publishers |
Total Pages | : 400 |
Release | : 2012-10-01 |
Genre | : Business & Economics |
ISBN | : 9780808033370 |
Responsibilities of Corporate Officers and Directors under Federal Securities Law alerts board members and management to their personal duties and liabilities under the federal securities laws. From the vast body of federal laws, rules, administrative interpretations, and court decisions dealing with securities offerings and transactions, those of particular interest to corporate officers and directors as individuals are discussed here. The materials focus on the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as pertinent provisions of the Investment Company Act of 1940. The 2010 -2011 Edition includes new discussion of the following: Dodd-Frank Wall Street Reform and Consumer Protection Act Shareholder access to proxies SEC enforcement Recent case law on fraud liability Proxy disclosure concerning Chairman-CEO role, hedging arrangements, compensation consultants
Author | : Douglas Fee |
Publisher | : |
Total Pages | : 52 |
Release | : 1984 |
Genre | : Agriculture, Cooperative |
ISBN | : |
Author | : Judith Seddon |
Publisher | : Law Business Research Ltd. |
Total Pages | : 987 |
Release | : 2018-01-19 |
Genre | : |
ISBN | : 1912377837 |
There's never been a greater likelihood a company and its key people will become embroiled in a cross-border investigation. But emerging unscarred is a challenge. Local laws and procedures on corporate offences differ extensively - and can be contradictory. To extricate oneself with minimal cost requires a nuanced ability to blend understanding of the local law with the wider dimension and, in particular, to understand where the different countries showing an interest will differ in approach, expectations or conclusions. Against this backdrop, GIR has published the second edition of The Practitioner's Guide to Global Investigation. The book is divided into two parts with chapters written exclusively by leading names in the field. Using US and UK practice and procedure, Part I tracks the development of a serious allegation (whether originating inside or outside a company) - looking at the key risks that arise and the challenges it poses, along with the opportunities for its resolution. It offers expert insight into fact-gathering (including document preservation and collection, witness interviews); structuring the investigation (the complexities of cross-border privilege issues); and strategising effectively to resolve cross-border probes and manage corporate reputation.Part II features detailed comparable surveys of the relevant law and practice in jurisdictions that build on many of the vital issues pinpointed in Part I.
Author | : |
Publisher | : |
Total Pages | : 196 |
Release | : 1996 |
Genre | : Corporate governance |
ISBN | : |
Author | : CCH Incorporated |
Publisher | : CCH Incorporated |
Total Pages | : 402 |
Release | : 2004-11 |
Genre | : |
ISBN | : 9780808012313 |
This book alerts board members and management to their personal duties and liabilities under the federal securities laws. From the vast body of federal laws, rules, administrative interpretations, and court decisions dealing with securities offerings and transactions, those of particular interest to corporate officers and directors as individuals are discussed here. The materials focus on the Securities Act of 1933 and the Securities Exchange Act of 1934, pertinent provisions of the Investment Company Act of 1940, and the Sarbanes-Oxley Act of 2002. In particular, it focuses on the act's provisions relating to: corporate governance - audit committee duties - fraud penalties - audit committee duties - fraud penalties. Section 16(a) reporting of insider transactions - SEC enforcement powers - officer certification of company reports - internal control over financial reporting, the role and composition of audit committees, auditor independence, and enhanced MD&A disclosure.