Speak To A Live Person: 888.302.4594 Request A Demo

Dodd-Frank Act governance and compensation requirements: a “punch list” of action items

Wednesday, September 29, 2010

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

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.