The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”)1, enacted earlier this summer, imposes significant new corporate governance and executive compensation requirements that apply not just to financial institutions, but to public companies generally. Since many public companies begin in the fall to focus on the upcoming proxy season, this client alert is intended to provide a “punch list” of potential governance and compensation action items management and boards of directors should consider in order to comply with the Act’s new requirements.
Clcik here to read the article: Punch List
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Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes.