News & Analysis as of

Executive Compensation › Department of Justice (DOJ) › Securities Regulation

Saul Ewing LLP

Correcting Liquidity, Valuation, or Transfer Problems With OTC-Traded Stocks in Retirement Plans to Minimize Enforcement and...

Saul Ewing LLP on

Over 8,000 stocks trade on American stock exchanges, but billions of dollars in daily trades in these listed stocks and 12,000 more unlisted (non-exchange-traded) stocks occur outside of an exchange in Over-The-Counter...more

Thomas Fox - Compliance Evangelist

Executive Compliance Comp and Compliance: From Incentives to Clawbacks

Thomas Fox - Compliance Evangelist on

There are two problems that every company must deal with at the intersection of executive compensation and compliance. The first is the presence of perverse incentives within organizations, where executives are often...more

NAVEX

Renewed Focus on SOX 304 Compliance Stresses Need for Culture of Compliance, Executive Accountability

NAVEX on

The Department of Justice and the Securities and Exchange Commission have signaled in recent months that they have reinvigorated their focus on executive compensation claw backs, urging companies to adopt compensation...more

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