The Securities and Exchange Commission announced a new initiative encouraging cooperation. They put on a big media blitz. Big enough that they even allowed me to ask a question of SEC Enforcement Director Robert Khuzami. For the first time, the SEC set out how it will evaluate whether, how much, and in what manner to [...]
Tag Archives: Broc Romanek
Tuesday Morning Quarterback of Free Enterprise v. PCAOB
On Monday, the Supreme Court listened to the oral arguments in Free Enterprise Fund v. Public Company Accounting Oversight Board (08-861). For me in the compliance world, the case is about the viability of PCAOB under Sarbanes-Oxley. For the constitutional scholars it is an important separation of powers case. Responding to concerns about accounting that [...]
Investor Relations 2.0 After This Proxy Season
Hopefully your annual meeting of investors or shareholders went better than the annual meeting for Fortis. Shareholders in Ghent, Belgium threw shoes, coins and ballot boxes. (There is even video.) Broc Romanek put together his thoughts on Proxy Season Developments: Ten Signs that Things are Changing Online. First Use of Live Internet Voting Soliciting Shareholder [...]
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