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- Sarbanes-Oxley And Revised Listing Standards: Implications For Private Equity Funds (Update) - Corporate Governance Alert
- Private equity funds often seek board representation in connection with their investments in order to play a more active role in the portfolio company's management, strategic development and direction. The Sarbanes-Oxley Act and the proposed listing standards of the NYSE and Nasdaq will affect the composition of the boards of...
- White papers 2003-03-31
- SEC Chairman Releases Staff Report To The Sec On The Implications Of The Growth Of Hedge Funds
- The article discusses about the report released by the staff of the Division of Investment Management the Report to the SEC on the implications of the growth of hedge funds. In the Report, the SEC staff recommends that the SEC revise its rules under the Investment Advisers Act to require...
- White papers 2003-10-01
- Relaxation Of Us Regulatory Requirements For European Hedge Fund Managers
- In the role as counsel to various European hedge fund promoters, one issue one often comes across is the reluctance of a significant number of European promoted hedge funds to accept US investors into their funds for fear of subjecting themselves to US regulation, reporting and compliance. Among the issues...
- White papers 2003-08-15
- CFTC Issues Final Rules Affecting Exemptive Relief For Commodity Pool Operators And Commodity Trading Advisors
- The article talks about the Commodity Futures Trading Commission CFTC issued final rule amendments final rules that expanded certain registration exemptions for operators CPOs and advisors CTAs of pooled investment vehicles which are not offered to the retail public. Exemptions claimed by such pool operators and advisors would also extend...
- White papers 2003-08-08
- What You Need To Do Now In Response To The Sarbanes-Oxley Act Of 2002
- The Sarbanes-Oxley Act of 2002, passed by nearly unanimous votes in both the U.S. House of Representatives and the Senate, is an historic piece of legislation that overhauls corporate governance requirements, federal disclosure laws, and the oversight of public accounting firms. The Act is intended to enhance the accuracy, reliability,...
- White papers 2002-09-01
- SEC Approves NYSE And NASDAQ Proposals Relating To Director Independence
- The Securities and Exchange Commission SEChas approved listing standards proposed by the New York Stock Exchange NYSE and the NASDAQ Stock Market, Inc. Nasdaq relating to board composition and director independence. The new listing standards affect the composition of the boards of directors and board committees of listed companies and...
- White papers 2003-11-13
- Sec Issues Final Rules Requiring Management Reports On Internal Control Over Financial Reporting
- The Securities and Exchange Commission the SEC has issued final rules implementing Section 404 of the Sarbanes-Oxley Act of 2002 the Act. The Act requires i reporting companies, to include in their annual reports a report of management on the company's internal control over financial reporting and ii the registered...
- White papers 2003-06-20
- SEC Adopts Rules Mandating Electronic Filing Of Section 16(A)
- The Securities and Exchange Commission SEChas adopted rule and formed amendments to mandate the electronic filing, and Web site posting by issuers with corporate Web sites, of beneficial ownership reports filed by corporate officers, directors and principal security holders on Forms 3, 4 and 5 under Section 16a of the...
- White papers 2003-05-14
- NASD And NYSE Adopt New Rules On Analyst Recommendations Of Securities
- In response to growing concerns about potential conflicts of interest presented by analyst recommendations of securities in research reports and public appearances, both the NASD and the NYSE have adopted new rules that are designed to improve the quality and objectivity of research and to broaden the disclosure obligations applicable...
- White papers 2003-05-23
- SEC Adopts Rule Amendments Mandating Edgar Filing For Foreign Issuers
- The SEC has adopted rule amendments that will require foreign companies and foreign governments to file their Securities Act and Exchange Act documents electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval EDGAR system. Currently, the SEC's rules only permit, but do not require, foreign issuers to file their...
- White papers 2002-05-01
- How To Draft Md&A Under The New Sec Guidance
- "The SEC has always emphasized the role the Management's Discussion and Analysis of Financial Condition and Results of Operations ("MD&A") plays in providing investors with a clear understanding of a reporting company's current and prospective financial position and operating results. The bankruptcy of Enron Corp. in December 2001 triggered...
- White papers 2002-05-28
- Sarbanes-Oxley- Implications For General Counsel, Human Resources, Employment Policy And Employment Law
- Congress has a message for your employees - if you witness corporate fraud, or an attempt to cover it up, report it to authorities without fear of reprisal. The Sarbanes-Oxley Act of 2002 the Act is designed to root out corporate corruption in public companies and, in the process, mandates...
- White papers 2002-09-23
- How Insolvency Changes The Responsibilities Of Corporate Directors
- The post Enron focus on corporate responsibility means new scrutiny on how corporate directors conduct themselves. This article look at how just the possibility of insolvency tends to change the rules of the game. In Enron's wake, more directors that are corporate may be worrying about their roles. Figuring out...
- White papers 2002-06-01
- Consumer Privacy Rules: Compliance By Private Investment Fund Managers
- If one is the general partner or manager of a hedge fund, private equity fund or any other private investment fund that has any individual investors, is subject to new, federal rules designed to protect the privacy of information obtained concerning those individuals. These new federal rules the Privacy Rules...
- White papers 2001-06-01
- The Lesson From Eli Lilly's Privacy Woes: Practice What You Preach
- This article discusses some lesson from Eli Lilly's privacy woes. The Federal Trade Commission FTC recently announced a settlement with Eli Lilly Lilly for deceptive and unfair practices stemming from that company's one-time, accidental release of 669 e-mail addresses. The e-mail addresses identified customers of Lilly who had signed up...
- White papers 2002-03-01
- California Enacts Predatory Lending Statute
- The article talks about the bill that was ultimately signed into law and was substantially revamped (and is in many respects similar to the Homeowners Equity Protection Act HOEPA), and was itself later amended by California Assembly Bill 344. California has now joined the growing national movement to restrict certain...
- White papers 2002-07-01
- OTS Adopts Proposal To Eliminate Preemption Protection For Prepayment Charges And Late Charges Under Parity Act
- The article tells that OTS adopts proposal to eliminate preemption protection for prepayment charges and late charges under Parity Act. The Parity Act authorizes state-chartered housing creditors to make, purchase and enforce alternative mortgage transactions without regard to certain state laws or regulations by granting the creditors parity with federally...
- White papers 2003-09-30
- Actions for Issuers and Others Interesting Participants in Light of Indictment
- The Securities and Exchange Commission SEC issued a release on March 18 titled "Temporary Final Rule and Final Rule: Requirements for Arthur Andersen LLP Auditing Clients." Based on the SEC release, the article provides a list of questions that issuers who use Arthur Andersen LLP Andersen as their auditors may...
- White papers 2002-03-22
- CEOs And CFOs Of All Public Companies Must Certify Accuracy Of Periodic Reports Effective Immediately
- On July 30, 2002, President Bush signed into law the Sarbanes-Oxley Act of 2002, sweeping new legislation that overhauls corporate governance requirements, federal disclosure laws and oversight of public accounting firms. While most provisions of the Act are effective only upon future SEC and Public Company Accounting Firm Oversight Board...
- White papers 2002-07-31
- SEC Adopts Final Rules Regarding Audit Committee Financial Experts
- Section 407 of the Sarbanes-Oxley Act directed the SEC to issue rules that would require a company to disclose whether or not, and if not, the reasons why not, the audit committee of that company is comprised of at least one member who is a "financial expert." On October 22,...
- White papers 2003-02-06
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