Financial Poise Webinars
Practical and entertaining education for business owners and executives, Accredited Investors, and their legal and financial advisors.

Securities Law Compliance

Series: CORPORATE & REGULATORY COMPLIANCE BOOT CAMP 2019 - WINTER/SPRING EDITION

Securities Law Compliance

The Securities and Exchange Commission has been entrusted with a significant corporate compliance regulatory function, which has been expanded by seminal legislation in the recent past such as the Sarbanes-Oxley (“SOX”) and Dodd-Frank Acts.  This webinar discusses board fiduciary duties and the tension between state corporate law standards and federal law. Board composition, independence, structure and processes (including best practices in regard to committees) are analyzed. Specifically, director independence is discussed as is audit committees and related requirements, regulations and exemptions.  NASDAQ and the NYSE also have similar requirements for director independence and those are also discussed. The webinar also covers disclosure matters related to SOX compliance, including timing and content of an issuer’s periodic disclosures. Both the legal requirements and best practices related to disclosure procedures and internal controls under SOX are examined.  Means of controlling the costs of SOX, especially for smaller public companies, are also discussed, including trends in the industry related to high regulatory compliance costs. Finally, the applicability and best practices for privately held companies and SOX are considered…

This webinar is delivered in Plain English, understandable to you even if you are not a specialist. It brings you into an engaging, even sometimes humorous, conversation designed to entertain as it teaches. And, it is specifically designed to be viewed as a stand-alone webinar, meaning that you do not have to view the other webinars in the series to get a lot out of it.

Principal Audience: Attorneys and Advisors, Business Owners and Executives, Investors

Partner: ChamberWise, Financial Poise, West LegalEdcenter


Meet the Panel:


Nicole Edmonds

Nicole Edmonds serves as Assistant Vice President and Corporate Secretary ...

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Rafael X. Zahralddin-Aravena

Rafael X. Zahralddin-Aravena is the chair of Elliott Greenleaf’s National ...

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Rakesh Gopalan

Rakesh Gopalan

Rakesh is a corporate and securities lawyer, with extensive experience ...

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Venroy K. July

A principal at the law firm of Miles & Stockbridge, ...

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