SEC Commissioner Gives Speech on Proxy Disclosure
Executive Compensation, Public Companies and Securities, Uncategorized SEC Commissioner Luis A. Aguilar recently gave a speech setting forth his views on proxy disclosure. Some of the more interesting points were: Mr. Aguilar noted that issuers should go beyond the requirements in compensation risk disclosures: “A key provision of the 2009 amendments is Item 402(s) of Regulation S-K, which requires a narrative discussion [...] Read more →
Hedge Funds and Private Equity Groups on SEC Examination Priority List
Investment Advisers, Private Equity, Uncategorized The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or... Read more →
SEC Official Describes Model to Identify Anomalous Accounting Results by Registrants
Public Companies and Securities, Uncategorized Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, U.S. Securities & Exchange Commission, described the SEC’s “Accounting... Read more →
Changes to D&O Questionnaires to Implement NYSE and Nasdaq Compensation Committee Independence Rules
Executive Compensation, Public Companies and Securities, Uncategorized Both the NYSE and Nasdaq stock exchanges are requiring most issuers to have independent compensation committees by the earlier of their first annual meeting after January 14,... Read more →