Financial Assurance

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Anti-Corruption, Competitive Practices, Employment, Environmental, Financial Assurance, Governance, Government Dealings (USA), Intellectual Property, Product Quality/Safety, Workplace Health/Safety

Mitratech

Anti-Corruption, Financial Assurance

Treasury/FRS/FDIC/FTC: Identity Theft Red Flags and Address Discrepancies Under the Fair and Accurate Credit Transactions Act of 2003 (2007)

Anti-Corruption, Competitive Practices, Environmental, Financial Assurance, Governance, Government Dealings (USA), International Transactions, Workplace Health/Safety

BWise

Anti-Corruption, Financial Assurance, Taxation

Journal of Forensic Accounting

Anti-Corruption, Employment, Environmental, Financial Assurance, Governance, Information Management, Intellectual Property, Workplace Health/Safety

Regulatory Intelligence by Michael Rasmussen: an Axentis Thought Leadership White Paper

Competitive Practices, Financial Assurance, Governance, Information Management

GRC Technology Roadmap Teleconference: December 18, 2008

Competitive Practices, Financial Assurance

SEC, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (2011)

Competitive Practices, Financial Assurance, Governance

SEC, Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

Employment, Financial Assurance

GAO, Defined Benefit Pension Plans: Guidance Needed to Better Inform Plans of the Challenges and Risks of Investing in Hedge Funds and Private Equity (2008)
Treasury, Interim Final Rule: Tarp Capital Purchase Program (2008)
Executive Compensation and the Emergency Economic Stabilization Act of 2008 (2008)
Item 402 of Regulation S-K - Executive Compensation (February 12, 2007)
IRS Notice 2007-49, Covered Employees Under Section 162(m)(3) (June 18, 2007)
SEC, Executive Pay Finder
Speech by SEC Chairman: Chairman's Opening Statement; Proposed Revisions to the Executive Compensation and Related Party Disclosure Rules (January 17, 2006)
FASB, Exposure Documents
SEC, Securities Whistleblower Incentives and Protections (2011, Final Rule)

Employment, Financial Assurance, Taxation

IRS Notice 2008-94: Section 162(m) - Excessive Compensation and Section 280G - Golden Parachute Payments (2008)
American Recovery and Reinvestment Act of 2009, Public Law 111-5

Employment, Financial Assurance, Governance

Implementation of the Wall Street and Consumer Protection Act: Deadlines Created by the Statute for Select Regulatory Milestones

Environmental, Financial Assurance, Governance, Information Management, Product Quality/Safety, Supply Chain Management (SCM), Workplace Health/Safety

Cura Software Solutions

Financial Assurance, Governance, Information Management, Intellectual Property, International Transactions, Supply Chain Management (SCM)

OCEG for Technology

Financial Assurance

Nasdaq Stock Market, Inc.
Form 10-K – Annual Report, Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions
Form 10-KSB - Annual Report for Small Business Issuers, Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions.
Form 10Q – Quarterly Report, Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions
Form 10-Q - Quarterly Report Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions
Form 8-K - Current Reports Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions
SEC, Financial Reporting Information Center: Regulatory Actions
SEC, Laws That Govern the Securities Industry
SEC Forms
Securities Lawyer's Deskbook
SEC, Proposed Rule - Amendments to Financial Responsibility Rules for Broker-Dealers (March 19, 2007)
Corporate & Securities Law Blog
FAS 140 – Transfers of Financial Assets Amendments (Ernst & Young, May 2007)
SEC, Division of Investment Management
SEC, Division of Corporation Finance
AIMA, Guide to Sound Practices for European Hedge Fund Managers (2007)
UK, Financial Services Authority - MiFID Permissions and Notifications Guide
UK, Financial Services Authority - Markets in Financial Instruments Directive (MiFID)
Markets in Financial Instruments Directive (MiFID)
EU's Financial Services Action Plan (2007)
SEC, Final Rule, Investment Governance, Commission Response to Remand by Court of Appeals Regarding Investment Company Governance Practices (2006)
International Financial Law Review (IFLR)
Internet Law - Offshore Financial Centers and Offshore Banking
OCC, Regulatory Review Amendments (2007)
SEC, Proposed Rule - Smaller Reporting Company Regulatory Relief and Simplification (2007)
SIFMA, Securities Industry and Financial Markets Association
CFO Magazine
Competitive Financial Operations: The CFO Project
SEC, Shareholder Choice Regarding Proxy Materials; Final Rule (August 1, 2007)
SEC, Short Selling in Connection With a Public Offering, Final Rule (August 10, 2007)
SEC, Proposed Rule: Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP (2007)
Financial Week Magazine (Crain Financial Group)
SEC, Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting (Draft, July 31, 2007)
SEC, Disclosure and Accounting Practices in the Municipal Securities Market (July 2007)
American Bankers Association (ABA): Center for Regulatory Compliance, Hot Topics and Advocacy
SEC, Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3–1 And 15c3–3 Under the Securities Exchange Act of 1934 ; Purchase of Deferred Variable Annuity Contracts (September 13, 2007)
Sarbanes-Oxley and the Inch-Thick Contract (2005)
SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers - Eight Years After Passage of the Gramm-Leach-Bliley Act, Key Provisions Will Now Be Implemented (2007)
SEC, Final Rule, Definitions of Terms and Exemptions Relating to the ‘‘Broker'' Exceptions for Banks (October 3, 2007)
SEC, Fed Finalize Bank-Broker Rules (2007)
EU, International Accounting Standards (IASs)
SEC Staff Accounting Bulletin: Topic 12: Oil and Gas Producing Activities
Are You Prepared to Release Hitherto Undisclosed Information? (2008)
GAO, Securities and Exchange Commission's Financial Statements for Fiscal Years 2007 and 2006 (2007)
Board Adopts Rules for Annual and Special Reporting (PCAOB, 2008)
Final Report of the Advisory Committee on Improvements to Financial Reporting to the United States Securities and Exchange Commission (2008)
Complexity DeCIFiRed — SEC Advisory Committee Releases Final Report (Deloitte, 2008)
SEC, Final Rule, Commission Guidance and Amendment to the Rules Relating to Organization and Program Management Concerning Proposed Rule Changes Filed by Self-Regulatory Organizations (July 2008)
PCAOB, Board Adopts Rules for Succeeding to Registration Status of Predecessor Firm (2008)
GAO / PCIE, Final Financial Audit Manual (July, 2008)
PwC IFRS Blog
SEC, Compliance Alert for Chief Compliance Officers (2008)
SEC, Final Rule - Exemption from Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers (2008)
SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies (2008)
China Accounting Standards: A New Beginning (2007)
SEC proposes roadmap for IFRS adoption (2008)
BIS, Sound Practices for the Management and Supervision of Operational Risk (Basel Committee on Banking Supervision, 2003)
FASB and IASB Publish Plan for Completion of Major Joint Projects by 2011 (2008)
BIS, Implementation of the compliance principles (Basel Committee on Banking Supervision, 2008)
BIS, Compliance and the compliance function in banks (Basel Committee on Banking Supervision, 2005)
Basel Committee on Banking Supervision

Financial Assurance, Governance

SEC, NYSE Rulemaking Page
General Rules and Regulations Promulgated under the Securities Exchange Act of 1934
Government in Financial Services: Options and Dilemmas (Ernst & Young, 2009)
Tokyo Stock Exchange (TSE)
CFO Project, The
Achieving Best Practices for Corporate Performance (2008)
EU Directive 2006/46/EC of the European Parliament and of the Council of 14 June 2006 amending Council Directives 78/660/EEC on the annual accounts of certain types of companies, 83/349/EEC on consolidated accounts ... (2006)
EU, European Commission, Modernisation of Company Law and Enhancement of Corporate Governance
FASB/IASB - Completing the February 2006 Memorandum of Understanding: A progress report and timetable for completion (2008)
Buckle Up (On the road to IFRS) (Deloitte, 2008)
PCAOB, Auditing Standard No. 6, Evaluating Consistency of Financial Statements (2008)
BIS, Enhancing Corporate Governance for Banking Organisations (Basel Committee on Banking Supervision, 2006)

Financial Assurance, Information Management

Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act; Proposed Rule (2007)
Glossary of GRC Terms from Financial Services Provider Perspective
SEC Provides Guidance to Open Up Use of Corporate Web Sites for Disclosures to Investors (July 30, 2008)
SEC, Interpretive Release: Commission Guidance on the Use of Company Web Sites (2008)
SEC, Final Rule: Electronic Filing and Revision of Form D (2008)