SEC Compliance Best Practices provides an authoritative, insider's perspective on tactics for and challenges in helping clients conform to Securities and Exchange Commission regulations. Featuring partners from some of the nation's leading law firms, this book guides the reader through the latest trends, such as the increased focus on the Foreign Corrupt Practices Act, heightened scrutiny of executive compensation, and incentives for cooperating with enforcement staff. From helping clients to establish and maintain compliance programs to evaluating new settlement options, these experienced lawyers discuss methods for preventing and managing SEC enforcement investigations. Additionally, these experts discuss the newest developments in securities law in the wake of the financial crisis, and speculate on upcoming changes in this field. The different niches represented and the breadth of perspectives presented enable readers to get inside some of the great legal minds of today, as these top attorneys offer their opinions and expertise on this complex area of law.
Inside the Minds provides readers with proven business and legal intelligence from leading C-Level executives and lawyers. Each chapter offers thought leadership and expert analysis on an industry, profession, or topic, providing a future-oriented perspective and proven strategies for success. Each author has been selected based on their experience and C-Level standing within the business and legal communities.
1. Alan H. Aronson, Partner, Akerman LLP - "Staying on Top of New SEC Compliance Regulations and Developing Effective Compliance Programs"
2. Jorge deNeve, Counsel, O'Melveny & Myers LLP - "Maintaining an Effective Compliance Program for When the SEC Enforcement Staff Comes Knocking"
3. David A. Lips, Attorney, Hall Render Killian Heath & Lyman - "Trends in SEC Compliance"
4. Gregory K. Bader, Shareholder and Chair, Banking and Financial Services Practice, Gunster Law Firm - "SEC Compliance in a Global and Cyber Era"
Appendix A: Rule 506(c) of Regulation D
Appendix B: Municipalities Continuing Disclosure