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Author Archives: Stephen M. Honig

Securities law beyond Dodd-Frank Act

The Dodd-Frank Act is the most far-reaching securities legislation in a generation, but I’ll leave its analysis to the deluge of client alerts and webinars out there. Aside from Dodd-Frank, there are other important securities changes that lawyers need to ...

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What a board of directors should do about risk

Enterprise risk management, or ERM, continues to be a “hot topic” in the legal press, in CLE programs, in webinars and certainly in Compliance Week. Like a dog with a bone, the securities law and corporate governance communities are gnawing away, until the last ounce of marrow is sucked free and digested.

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Federal government takes on corporate governance

By Stephen M. Honig In the most recent issue of New England In-House, we summarized the articulated Securities and Exchange Commission agenda: proxy reform, heightened disclosure on governance issues, focus on risk management and enhanced compensation disclosure. Since then, we ...

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Guidelines on business abroad revamped

The Foreign Corrupt Practices Act, adopted in 1977, prohibits U.S. companies (public or private) from bribing foreign government officials to obtain business. The U.S. Securities and Exchange Commission has civil enforcement powers with which to punish both the act of ...

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SEC eases resale of acquisition shares

“She never gives in. She just changes her mind.” – Billy Joel The specter of over-regulation, onerous reporting requirements, and the implementation of Sarbanes Oxley, including SOX Section 404 (concerning internal financial controls), have often been cited as inducing flight ...

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The morass of executive compensation

I have avoided the subject of executive compensation since writing two articles in this space in 2006, primarily because so much has been written about it elsewhere. But it is hard to avoid a six-ton gorilla, while looking for another, ...

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