Designing an Effective Securities and Corporate Governance Compliance Program
will keep you up-to-date with new developments in securities compliance in light of the Sarbanes-Oxley Act. It provides guidance for corporate counsel and private practitioners in the creation and maintenance of an effective securities law compliance program, including discussion of applicable law, audit committees, liability, and disclosure and filing requirements. It also:
- Helps to accurately identify weaknesses in your corporation's securities compliance system and build on its strengths
- Shows how to train frontline employees to run the securities compliance system effectively
- Suggests ways to elevate employees' awareness of potential legal issues
- Contains practical tips for planning and designing securities programs
This comprehensive volume also provides proven suggestions for convincing management to accept and support the programs, guidelines for auditing compliance programs, and actual examples that pave the way for smooth implementation of compliance programs.