Search for: "MELISSA KLEIN"
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9 Apr 2010, 5:00 am
OIG Issues Recs to Overhaul SEC Bounty Program by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet The Securities and Exchange Commission’s bounty program for rewarding whistleblowers is sorely in need of an overhaul, according to the agency’s Inspector General, which issued nine recommendations for improving the program. [read post]
8 Apr 2010, 5:39 pm
Melissa Klein with Cincinnati Children's Hospital Medical Center says many of the causes of poor child health are social in origin, so by maximizing the resources of two professions, they can get to the root of what is really going on. [read post]
25 Mar 2010, 10:54 am
Klein KF3828 .K59 2009 (New Book Shelf) ThomCat |Amazon.com The Law of American State Constitutions Robert F. [read post]
19 Mar 2010, 5:00 am
Schapiro Details How The SEC Would Spend 2011 Budget by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet SEC Chairman Mary Schapiro took to the Hill this week to provide lawmakers with details on how the agency would use the President’s budget request of $1.258 billion for fiscal 2011. [read post]
12 Mar 2010, 5:00 am
OECD Guidance On Internal Controls, Ethics and Compliance by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet The OECD Working Group on Bribery has issued “Good Practice Guidance on Internal Controls, Ethics and Compliance,” which calls for companies in the 38 countries that are party to the OECD Anti-Bribery Convention to put in place strict internal controls and establish ethics and compliance programs as part of a strategy to combat bribery in… [read post]
2 Mar 2010, 2:00 pm
Katz & Lindsay Weissman + Drew Katz + Beth and David Rothenberg + Faryl & Jonathan Sandler + Stephen and Melissa Silver + Natasha & Tom Silver + Sullivan & Cromwell LLP Ring Toss:A2Z Professional Waterproofing & Restoration, Inc. + Alcon Builders Group, Inc. [read post]
5 Feb 2010, 5:00 am
Under Proposed Budget, SEC Could Get $1.258B, Add Staff by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet The President’s budget request of $1.258 billion for the Securities and Exchange Commission for fiscal 2011 would increase the commission’s coffers by roughly $139 million, or 12 percent over its fiscal 2010 funding level, and would enable the agency to add about 380 staff positions. [read post]
29 Jan 2010, 5:00 am
Questions Arise on Timely Ethics Disclosures by Melissa Klein Aguilar in Compliance Week (sub required.) [read post]
19 Jan 2010, 5:00 am
Sources: SEC’s New Enforcement Cooperation Initiative website Section 6.2 of the SEC Enforcement manual (.pdf) Press Release – SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations Video of SEC press conference on January 13 The SEC Enforcement Division’s Big Day: Changes Galore by Broc Romanek for The Corporate Counsel.net New Cooperation Tools, Units An Enforcement Game Changer by Melissa Klein Aguilar for… [read post]
15 Jan 2010, 5:00 am
New Cooperation Tools, Units An Enforcement Game Changer by Melissa Klein Aguilar for Compliance Week Forging ahead with the revamp of its Enforcement Division, the Securities and Exchange Commission unveiled new tools to incentivize individuals and companies to cooperate with the enforcement staff during investigations, including deferred- and non-prosecution agreements and a so-called Seaboard Memo for individuals. [read post]
18 Dec 2009, 4:00 am
Chief Compliance Officer Now a Full-Time Job By Melissa Klein Aguilar for Compliance Week Two new studies confirm what those tasked with oversight of corporate compliance probably already know: More and more often these days, the chief compliance officer’s job is a full-time, stand-alone gig, rather than a secondary duty one handles while wearing some other title. [read post]
29 Nov 2009, 11:30 am
Editor's Note: David A. [read post]
23 Oct 2009, 4:00 am
Facilitation Payments Still Leave Companies Vexed By Melissa Klein Aguilar for Compliance Week A survey conducted by TRACE International shows some companies are prohibiting facilitation paymentsâ€â [read post]
5 Oct 2009, 2:59 am
The New York Post's Isabel Vincent and Melissa Klein look at Charlie Rangel and make a pretty strong case for why this guy should be facing an indictment not re-election. [read post]
2 Oct 2009, 9:00 am
Data Security Regs Proves Costly from Melissa Klein Aguilar for Compliance Week For those organizations already tackling the task of complying with a new Massachusetts data security regulations that are currently slated to take effect March 1, compliance is proving costly, a recent survey shows. . . [read post]
30 Sep 2009, 6:00 am
SEC's IG Issues 21 Recommendations for Div. of Enf. by Bruce Carton for Enforcement Action OIG Report: Enforcement Program Improvements by Melissa Klein Aguilar for The Filing Cabinet The SEC’s Madoff Report – prior report [read post]
3 Sep 2009, 4:00 am
International Game Technology opinion hosted on JD Supra Recent Court Decision Clarifies Whistleblower Law by Melissa Klein Aguilar for Compliance Week Ninth Circuit Determines The Standard for Whistleblower Claims Under SOX by Mandana Massoumi and Joel O’Malley for Dorsey & Whitney LLP Ninth Circuit Lowers the Bar for Sarbanes-Oxley Attorney Whistleblower Claims (.pdf) from Morgan Lewis Image is by HughElectronic: Whistleblower. [read post]
28 Aug 2009, 4:00 am
References: SEC Charges Control Person Liability in Settled FCPA Action by Melissa Klein Aguilar for The Filing Cabinet SEC Trots Out a New Weapon: Control Person Liability by Amanda Bronstad for The National Law Journal FCPA Liability Keep Growing by Richard Cassin for The FCPA Blog SEC Litigation Release regarding Nature’s Sunshine SEC Complaint against Nature’s Sunshine [read post]
18 Aug 2009, 8:00 am
References: SEC’s Division of Corporate Finance – Compliance and Disclosure Interpretations SEC Staff Updates Dozens of C&DIs by Melissa Klein Aguilar for Compliance Week [read post]
16 Jul 2009, 4:00 am
References: Text of California’s Electronic Discovery Act California Adopts e-discovery Rules by Melissa Klein Aguilar on Compliance Week’s The Filing Cabinet California’s Electronic Discovery Act by David Lender of Weil Gotshal California Adopts Electronic Discovery Provisions That Impact Most Cases from Mayer Brown After Prior False Starts, California Adopts Comprehensive eDiscovery Rules from Morgan Lewis Code of Civil Procedure [read post]
