NYSE Governance Services held its West coast compliance readiness conference yesterday.
From the NYSE:
Preventing fraud in compliance with the Sarbanes-Oxley Act (SOX) and the Foreign Corrupt Practices Act (FCPA), as well as the importance of creating accurate financial statements and cooperating with internal audit in order to comply with the requirements of a stringent regulatory environment are just a few of the many challenges public companies need to communicate to their workforce.
Obviously, we’re big into compliance and our presence brought an important “services execution” perspective to the NYSE’s attendees. In additional to understanding the strategic aspects of compliance, corporate leaders must have a tactical understanding of HOW to be compliant… beginning with the S-1. (download whitepaper here) That’s our role: pre-and post-IPO.
- The Nuts and Bolts of a Strong and Effective Compliance Program
- Innovative Training and Communications Strategies
- Leveraging Technology and Monitoring and Auditing
- Emerging Compliance Risks
Also, the NYSE distributed to all attendees our Corporate Governance and Securities Laws handbook. Very useful. (request yours here)
PR Newswire / Vintage Filings was pleased to participate and we’re proud that our shareholder communications services are NYSE approved for their issuer and IPO program.
Have a great day.