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Compliance Regulations and Guidance Affecting your Industry
Get trained on regulations affecting your industry through online webinars, learn the best practices, and download quality standards, checklists and news articles. Listen to experts on best practices to streamline quality and compliance processes and meet the regulatory demands.Categories
Compliance Trainings
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Understanding the new NAIC (National Association of Insurance Commissioners) Model Regulation
By - Bob Benoit
On Demand Access Anytime
By - Bob Benoit
On Demand Access Anytime
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The SEC's New Whistleblower Rules: Implications for your Company's Compliance and Fraud Program
By - Douglas Park
On Demand Access Anytime
By - Douglas Park
On Demand Access Anytime
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The SEC's New Whistleblower Rules: Implications for Your Company's Compliance and Fraud Program
By - Craig M Taggart
On Demand Access Anytime
By - Craig M Taggart
On Demand Access Anytime
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PROXY DISCLOSURE ENHANCEMENTS
- Industry: SEC Compliance
We are adopting amendments to our rules that will enhance information provided in connection with proxy solicitations and in other reports filed with the Commission. The amendments will require registrants to make new or revised disclosures about: compensation policies and practices that present material risks to the company; stock and option awards of executives and directors; director and nominee qualifications and legal proceedings; board leadership structure; the board’s role in risk oversight; and potential conflicts of interest of compensation consultants that advise companies and their boards of directors. The amendments to our disclosure rules will be applicable to proxy and information statements, annual reports and registration statements under the Securities Exchange Act of 1934, and registration statements under the Securities Act of 1933 as well as the Investment Company Act of 1940. We are also transferring from Forms 10-Q and 10-K to Form 8-K the requirement to disclose shareholder voting results
This rule is effective 2/28/2010
Dependent Child of Divorced or Separated Parents or Parents Who Live Apart; Correction
- Industry: SEC Compliance
This document contains corrections to final regulations (TD 9408) that were published in the Federal Register on Wednesday, July 2, 2008 (73 FR 37797), relating to a claim that a child is a dependent by parents who are divorced, legally separated under a decree of separate maintenance, or separated under a written separation agreement, or who live apart at all times during the last 6 months of the calendar year
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