Search for: "MELISSA KLEIN"
Results 101 - 109
of 109
Sort by Relevance
|
Sort by Date
8 Jul 2009, 4:00 am
North American Stainless, Sixth Circuit, June 5, 2009 (.pdf) Court Ruling Both a Victory and Warning for Cos. by Melissa Klein Aguilar on The Filing Cabinet on Compliance Week En Banc Sixth Circuit Holds that there is no Cause of Action for Third-Party Retaliation, Reversing Earlier Decision by Jamie LaPlante on Employer Law Report Your Fiancée Can Get You Fired by Robert J. [read post]
8 Jun 2009, 1:00 pm
Below are links to some stories from the conference: Ex-SEC chief Pitt decries state of Sarbanes-Oxley and risk management By Alexander Howard, Associate Editor of SearchCompliance.com My Takeaways from Compliance Week 2009 by Bruce Carton of Enforcement Action Compliance Week 2009 Day 1 What a Difference a Year Makes by Francine McKenna of Re: The Auditors SEC's Aguilar on 404, IFRS Proxy Access, More by Melissa Klein Aguilar of The Filing Cabinet SEC Commish, FINRA Head:… [read post]
22 Apr 2009, 2:25 am
Melissa Klein Aguilar has an April 21, 2009 article in Compliance Week (here) discussing the SEC’s updated guidance. [read post]
20 Apr 2009, 5:47 am
A39, 703 words, Rooting out intolerance starts with education, BY PETER KLEIN. [read post]
18 Apr 2009, 4:00 am
Updating Your Gift & Entertainment Policy by Melissa Klein Aguilar for Compliance Week In a recent survey of more than 500 compliance and ethics professionals, 46 percent said their organization hasn't significantly updated its gift and entertainment policy in the last year. [read post]
14 Apr 2009, 9:00 am
See: Red Book 2.0 - GRC Capability Model (requires registration) OCEG Releases Red Book 2.0 by Melissa Klein Aguilar for The Filing Cabinet in Compliance Week [read post]
4 Apr 2009, 4:00 am
OIG Recommends Action on Reg D Issues, Form D Changes from Melissa Klein Aguilar of The Filing Cabinet The Securities and Exchange Commission should take steps to better ensure compliance with Regulation D, to act when it finds non-compliance, and should make better use of Form D information. [read post]
20 Mar 2009, 1:00 pm
Here are a few stories and items that caught my eye, but I have not had time to build-out to a full post: Reminder to Review Insider Trading Compliance by Melissa Klein Aguilar for Compliance Week The SEC settled an administrative proceeding this month involving Merrill Lynch based on the firm's failure to have adequate procedures regarding its "squawk box" to prevent day traders from overhearing and using material non-public information regarding unexecuted… [read post]
26 Mar 2007, 8:57 am
Late last week, this announcement was made internally at Sullivan & Cromwell: I am pleased to announce that Vince DiBlasi, Andrew Gerlach, Tracy Richelle High, Jessica Klein, Keith Pagnani, Melissa Sawyer, Karen Seymour, and Fred Rich, as Chair, have agreed to serve on a new working group focusing on the recruiting process and the associate experience. [read post]
