Source: http://www.lawcatalog.com/productdetail/14950/?productID=14950&CFID=4732528&CFTOKEN=2db9def817f085e8-A2AF3349-CC07-8419-AA9BD638CA92F8F7
Timestamp: 2016-04-30 18:53:31
Document Index: 217557061

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Book #00687; looseleaf, one volume, 834 pages; published in 2007, updated as needed; no additional charge for updates during your subscription. Looseleaf print subscribers receive supplements. The online edition is updated automatically. ISBN: 978-1-58852-142-2. This title is available in digital format. Downloadable eBook included in your purchase. We recommend Apple® iPad® or iPhone®, SONY® Reader, or Adobe® Digital Editions (for PC or Mac users).
Also by Kevin T. Abikoff: IBTest_251012
§1.01 Introduction §1.02 Bubbles
[1] Tulipmania [2] The South Sea Bubble §1.03 Swindles
[4] Ponzi, “The Boston Swindler” [5] De Angelis and the Salad Oil Swindle
[6] Madoff, The New Ponzi Scheme§1.04 Lessons Learned from Previous Bubbles and Scandals
CHAPTER 2 Structural Governance: Board of Directors’ Committee Mechanics and Mechanisms
[4] Comments §2.04 Lead Director [1] NYSE Rules Regarding Lead Directors
[2] Comments§2.05 Director Self-Evaluation [1] Background
[2] Comments§2.06 Promoting Director Quality
CHAPTER 3 Structural Governance: Director Independence and Related Issues §3.01 Background
§3.02 Overview of Common Law Standards [1] Disinterestedness
[2] Independence§3.03 Sarbanes-Oxley: The Role of the Audit Committee; Audit Committee Independence and Related Issues
[4] Retention of Experts§3.04 New York Stock Exchange Independence Standards
[3] NYSE Standards§3.05 NASD and American Stock Exchange Independence Standards
[4] Related Persons Transactions§3.07 Private Litigation: Raising the Bar
CHAPTER 4 Enhanced Controls
[2] Modern “Internal Control” Initiatives§4.03 Officer Certifications
[2] Current Requirements [3] Comments§4.04 Practical Considerations
[2] Overview of Select Federal Agency Standards [3] The Department of Justice
[5] New York Stock Exchange Standards§5.03 Developing an Effective Compliance Program
[12] Make Ethics Part of the Hiring and Evaluation Processes§5.04 Codes of Business Conduct
[2] Listing Rules Requiring the Introduction of Codes of Conduct [3] Legal Risks of Codes of Conduct§5.05 SEC Whistleblower Protections
[2] The Duty of Loyalty§6.04 Comments
The SEC’s Influence on Board Responses to Allegations or Evidence of Misconduct §7.01 Background
§7.02 Historic SEC Views Regarding Directorial Duties §7.03 The Seaboard Report and the Penalties Guidance [1] The Seaboard Report
[2] The Penalties Guidance§7.04 Comments
The Department of Justice Influence on Board Responses to Allegations or Evidence of Misconduct §8.01 Overview
[2] Effective Compliance and Ethics Program§8.03 The Department of Justice Guidelines for Prosecution of Corporations Impact on Investigatory Behavior
[2] ABA Approaches§9.03 Modern Developments in the Role of Counsel
[3] DOJ Enforcement Initiative§9.04 Comments
[2] Existing Whistleblower Legislation §10.02 Sarbanes-Oxley Whistleblower Initiatives
[3] Sections 806 and 1107 of the Sarbanes-Oxley Act§10.03 Practical Implications
Document Retention and Production with Emphasis on Rules Relating to Electronic Discovery §11.01 Overview and Context
Pitfalls of Failed Document Production Efforts §12.01 Criminal Penalties for Document Destruction
[2] The Legislative Aftermath: The Sarbanes-Oxley Amendments§12.02 The Hazards of Spoliation: Zubulake and Morgan Stanley
[3] Case Study: Morgan Stanley [4] Case Study: QualComm
[6] Case Study: Rosenthal Collins Group, LLC v. Trading Technologies International§12.03 SEC Requirements and Link to Cooperation
[1] Case Study: Lucent Technologies Inc. [2] Case Study: Banc of America Securities LLC
[4] Case Study: Symbol Technologies, Inc. §12.04 Commentary
Treatment of Electronic Materials at Issue in Securities and Exchange Commission Investigations §13.01 Introduction
[9] Know How the Work Product Will Be Produced§13.03 Act Quickly
[5] Controlling Electronic Materials and Chain of Custody§13.04 Do It Right
[3] Create Electronic Material Maps§13.05 Conclusion
[1] Introduction [2] Sources of Information
[5] Parallel Investigations§14.02 Conduct of Investigation
[6] Inadvertent Disclosure§14.03 Enforcement Actions
[3] Non-Prosecution Agreements§14.04 Remedies
[6] Emergency Relief§14.05 Sarbanes-Oxley Enforcement Reforms
[2] Negotiated Agreements [3] Criminal Prosecutions§15.03 The Cooperation Decision
[2] Negative Consequences of Cooperation §15.04 Corporate Sentencing [1] Corporate Sentencing Considerations
§16.01 Introduction §16.02 Section 16—Reporting of Insider Securities Transactions
[2] Electronic Filing and Web Site Posting§16.03 Pension Plan Blackouts—Notices and Trading Restrictions
[3] DOL Regulations§16.04 Prohibition on Loans
[3] Law Firm Position Paper§16.05 Form 8-K Reporting of Executive Compensation
[5] The Emergency Economic Stabilization Act of 2008 §16.05A Dodd-Frank Act
[1] Say on Pay [2] Say on Golden Parachutes [3] Pay Versus Performance Disclosures
[4] SEC Implementation §16.06 Restrictions on Deferred Compensation
[4] Restrictions on Funding of Deferred Compensation§16.07 Conclusion
[2] Private Enforcement of the Securities Laws§17.02 Selection of Lead Plaintiff
[6] Grouping of Lead Plaintiffs §17.03 Pleading Standards
[2] Pleading Standards Under Rule 9(b) [3] Pleading Standards Under the PSLRA
[8] Section 18§17.04 PSLRA Stay Of Discovery Provisions
[1] Lifting the Stay (In General) [2] Particularized Discovery as Necessary to Prevent Undue Prejudice
[6] Circumventing the Stay§17.05 Class Certification
[3] Challenges to Class Certification§17.06 Statute of Limitations
Select Issues in the Foreign Corrupt Practices Act §18.01 Introduction
[3] Sanctions§18.03 “Promises” and “Anything of Value” §18.04 The “In Furtherance” Requirement
[3] Willfully§18.07 The “Obtain or Retain Business” Element §18.08 Use of Advisory Opinions
[2] FCPA’s Current Advisory Opinion Process§18.09Enforcement Trends
[3] Private Litigation [4] International Anti-Corruption Enforcement §18.10Due Diligence
§19.01 Introduction [1] Cautionary Tales
[2] Self-Regulation§19.02 Policies and Procedures
[1] Code of Ethics [2] Disclosure [3] Conflicts of Interest
[6] Reimbursing Expenses [7] Loans to Directors and Officers §19.03 Board Structure and Composition
[1] Governing Body [2] Diversity and Financial Literacy [3] Independence [4] Compensation §19.04 Board Responsibilities
[2] Review Size and Structure [3] Train Board Members [4] Review Governing Instruments [5] Review Goals for Implementing Mission [6] Supervise and Evaluate CEO [7] Perform Self-Evaluation [8] Limit Terms for Board Members
[9] Review Risk Management §19.05 Timetables