Searching Content indexed under Compliance by Leslie McCallum ordered by Published Date Descending.
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Canadian Securities Regulators Re-Propose
Canadian securities regulators have proposed rule changes that would permit reporting issuers to make their information circulars available on a website without having to mail hard copies to shareholders.
29 Jun 2011
Changes To Canada's Insider Reporting Regime
Canada’s securities regulators have adopted a new regime for insider reporting. New National Instrument 55-104 and its companion policy are expected to come into effect on April 30, 2010.
28 Jan 2010
SEC Postpones Auditor Attestation For Smaller Public Companies
The SEC has granted an extension for smaller public companies to comply with the auditor attestation requirement under section 404 of the Sarbanes-Oxley Act of 2002.
20 Oct 2009
Canadian And U.S. Orders On Short Selling And Issuer Repurchases: New Expiry Dates
The OSC and SEC have changed the expiry dates of their emergency orders on short selling and issuer repurchases of their own securities as follows...
20 Oct 2008
Amended Short-Selling Orders And Additional Rule Changes To Increase Liquidity In The United States And Canada
The OSC and SEC have issued temporary orders prohibiting short selling of certain financial companies' securities until October 3, 2008.
United States
2 Oct 2008
SEC Attempts To Stabilize U.S. Market By Prohibiting Naked Short Selling
The SEC has implemented rules prohibiting naked short selling in an attempt to curb the decline in stock prices and reduce turmoil in securities markets.
United States
22 Sep 2008
Canadian Securities Regulators Adopt Policy On Cease Trade Orders For Continuous Disclosure Defaults
Canada's securities regulators have adopted National Policy 12-203, Cease Trade Orders for Continuous Disclosure Defaults.
15 Sep 2008
SEC Releases Guidance On Using Company Websites To Disclose Information
The SEC has published an interpretive release discussing how companies can use their websites to disseminate information while complying with the antifraud and certain other provisions of U.S. securities law.
28 Aug 2008
SEC Issues Guidance On Internal Control Rules And Redefines "Material Weakness"
The SEC has taken several steps to help issuers comply more cost-effectively with the internal control rules under section 404 of the Sarbanes-Oxley Act of 2002.
9 Jul 2007
New Rules Make It Easier For Non-U.S. Issuers To Terminate Their SEC Reporting Obligations
Since the Sarbanes-Oxley Act was adopted in 2002, non-U.S. issuers have become increasingly disenchanted with the regulatory burden of being listed on a U.S. stock exchange or otherwise having SEC reporting obligations.
28 May 2007
Proposed New Requirements For Certification Of Internal Control Over Financial Reporting
Canada’s securities regulators have proposed new requirements for CEO and CFO certifications and related disclosure in management’s discussion and analysis (MD&A) pertaining to internal control over financial reporting.
28 May 2007
Canada’s Securities Regulators Are Proposing That Internal Controls Be Evaluated In 2008
Canada’s securities regulators are proposing to make the new requirements for internal control over financial reporting for public companies effective for financial years ending on or after June 30, 2008. This deadline is meant to give issuers the necessary lead time to plan and implement their internal control compliance activities.
28 May 2007
U.S. Legislative Developments On Internal Controls And "Say On Pay"
Two important developments have recently taken place in the U.S. legislature. The first relates to a proposed exemption from the internal control rules under section 404 of the Sarbanes-Oxley Act of 2002, and the second relates to shareholder voting on executive compensation.
United States
27 May 2007
SEC Proposes Measures To Increase The Competitiveness Of U.S. Capital Markets
The SEC is proposing rule changes to increase the attractiveness and competitiveness of U.S. capital markets.
20 Dec 2006
SEC Will Issue Further Guidance on Internal Control Rules, but Small Companies Won’t Be Exempt
The SEC announced on May 17, 2006 that it plans to take several steps to improve the implementation of the internal control rules under section 404 of the Sarbanes-Oxley Act of 2002.
17 Jul 2006
SEC and PCAOB Host Public Roundtable on Internal Control
The internal control rules under section 404 of the Sarbanes-Oxley Act of 2002 have been in place for two years in the United States and have generated more controversy than any other corporate governance reform.
17 Jul 2006
SEC Proposes New Rules on Executive Compensation Disclosure
The U.S. Securities and Exchange Commission has proposed new disclosure rules for executive and director compensation and related party transactions in response to investors’ calls for more transparent disclosure.
30 Jan 2006
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