Saturday, September 18, 2010

Daily Update from Securities Docket

Daily Update from Securities Docket

Link to Securities Docket

Securities Docket News Wire for Sept. 18, 2010

Posted: 18 Sep 2010 04:15 AM PDT

Senate Committee Approves Bill to Limit SEC’s FOIA Exemptions

Posted: 17 Sep 2010 11:06 AM PDT

From Compliance Week’s Enforcement Action blog:

Yesterday, the Senate Judiciary Committee unanimously approved bipartisan legislation to repeal certain parts of Section 929I of Dodd-Frank, a provision that Sen. Ted Kaufman declared to be “overbroad.”  Sen. Chuck Grassley said

the bill will ensure that the SEC can treat sensitive information provided by hedge funds to the Commission in connection with the SEC's examination and surveillance activities in the same manner as the Commission treats such information when it is provided by other financial institutions.

Read more from Senate Committee Approves Bill to Limit SEC's FOIA Exemptions

Investors Object to Symantec’s Virtual Annual Meeting

Posted: 17 Sep 2010 10:47 AM PDT

From the RiskMetrics Governance blog:

An investor advocacy group, the U.S. Proxy Exchange (USPX), is objecting to Symantec’s plan to hold a virtual-only annual meeting on Sept. 20. The Massachusetts-based group has organized a letter-writing campaign and is urging both retail and institutional investors to contact company officials. The group wants the California-based technology company instead to hold a hybrid meeting, where shareowners could attend in person or electronically….

“The decision to hold a ‘virtual’ meeting gave the impression of embattled executives hiding behind technology,” the group asserts.

Read more from “Investors Object to Symantec’s Virtual Annual Meeting”

Anti-Corruption Procedures: Are Yours ‘Adequate’ for the UK?

Posted: 17 Sep 2010 09:00 AM PDT

From K&L Gates:

On 14 September 2010, the Ministry of Justice issued its promised Consultation Paper seeking comment on what might be “adequate procedures” to avoid criminal liability for a commercial organisation which has “failed to prevent bribery”. Responses are sought by 8 November…. Companies wishing to take advantage of the protection afforded against criminal exposure in the UK by establishing “adequate procedures” to prevent bribery now have a good indication of what UK authorities will expect, and can begin to consider steps to be taken in advance of the effective date of the Act next year.

Read more from the K&L Gates Financial Corrupt Practices Act Alert

Adequate Procedures: The Antidote to Bribery

Posted: 17 Sep 2010 08:44 AM PDT

From thebriberyact.com:

Under the UK Bribery Act, companies who can demonstrate that they have "Adequate Procedures" to prevent bribery will not be guilty. In the summer it was announced that draft guidance would be published for consultation in September…. However, there really is no point in delaying in getting to grips with what your business needs to do now.

Read more from “Adequate procedures: The antidote to bribery”

Securities Docket News Wire for Sept. 17, 2010

Posted: 17 Sep 2010 08:10 AM PDT

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