Mike Stegemoller – Compliance Building

Public Companies Fail to Disclose Ethics Waivers

Doug Cornelius January 7, 2010October 2, 2013 Compliance Programs 3

According to Usha Rodrigues from University of Georgia Law School and Mike Stegemoller from Texas Tech University – Rawls College of Business, in their paper Placebo Ethics, public companies are failing to disclose ethics waivers. They focused on Section 406 of Sarbanes-Oxley which requires public companies to disclose when they have granted an ethics waiver … Read more »

Short Bites

Doug Cornelius March 20, 2009September 30, 2013 Compliance Bricks and Mortar 1

Here are a few stories and items that caught my eye, but I have not had time to build-out to a full post: Reminder to Review Insider Trading Compliance by Melissa Klein Aguilar for Compliance Week The SEC settled an administrative proceeding this month involving Merrill Lynch based on the firm’s failure to have adequate … Read more »