Prepared for distribution at a program of the same name.
Contents:
A few observations about compliance recordkeeping: a rock and a hard place / David F. Axelrod. An overview of the United States sentencing commission -- Fundamentals of organizational compliance / Paula J. Desio -- United States sentencing commission guidelines manual: chapter eight-sentencing of organizations -- Findings and recommendations presented to the United States sentencing commission (October 7, 2003) (PowerPoint Presentation / Paul Fiorelli -- Report of the ad hoc advisory group on the organizational sentencing guidelines -- Proposed amendments to the sentencing guidelines: proposal no. 2, "Effective compliance programs in chapter 8" -- United States department of justice memorandum regarding federal prosecution of business organizations (January 20, 2003) / submitted by: Phillip Urofsky -- Justice department revises corporate prosecution standards / Jeffrey M. Kaplan -- Interview with United States Attorney James B. Comey regarding department of justice's policy on requesting corporations under criminal investigation to waive the attorney client privilege and work product protection -- First year report to the President: corporate fraud task force -- U.S. department of justice, antitrust division -- Environmental protection agency final policy statement: incentives for self-policing: discovery, disclosure, correction and prevention of violations OECA memorandum regarding confidentiality of information received under agency's self-disclosure policy -- U.S. department of justice: factors in decisions on criminal prosecutions for environmental violations in the context of significant disclosure efforts by the violators -- How the SEC will credit compliance programs in enforcement decisions / Dana H. Freyer, Rebecca Walker -- Report of investigation pursuant to section 21(a) of the Securities Exchange Act of 1934 and commission statement on the relationship of cooperation to agency enforcement decisions (Exchange Act release no. 44969, October 23, 2001 / submitted by: Rebecca Walker -- Securities and exchange commission (SEC) final rule: compliance programs of investment companies and investment advisers, 17CFR parts 270 and 275 (release nos. IA-2204; IC-26299; file no. S7-03-03 -- What we can learn about effective compliance policies from recent employment discrimination cases / Rebecca Walker -- A compendium of compliance program standards: statutory, regulatory, judicial, and private sources / Richard S. Gruner -- Open compliance and ethics group overview (PowerPoint Presentation) / Scott L. Mitchell -- Impact of Sarbanes-Oxley and other recent developments on compliance (PowerPoint Presentation) / Dana Freyer, Rebecca Walker -- SEC enforcement developments / Colleen P. Mahoney, Charles F. Walker, Louis D. Greenstein -- Speech by SEC staff: statement regarding SEC action against ex-Enron officer Jeffrey K. Skilling / Stephen M. Cutler -- Report to congress: increased penalties under the Sarbanes-Oxley Act of 2002 (January 2003) -- The sentencing commission's implementation of Sarbanes-Oxley / John R. Steer -- Corporate compliance and ethics after the Sarbanes-Oxley Act / Carole L. Basri -- Weighing Sarbanes-Oxley: changes appear to be found / Rebecca Walker -- Codes and waivers: approaching the uncertain / Rebecca Walker -- A few observations about compliance recordkeeping: a rock and a hard place / David F. Axelrod.
Series:
Corporate law and practice course handbook series. no. B-1417-B-1417
OCLC:
(OCoLC)54926293
Locations:
N5UX522 -- University of Iowa Law Library (Iowa City)
OVUX522 -- University of Iowa Libraries (Iowa City)
This resource is supported by the Institute of Museum and Library Services under the provisions of the Library Services and Technology Act as administered by State Library of Iowa.