Tag Archives: Securities

Public Companies Warned To Disclose Cyber Risks By $7 Million SEC Penalty

Posted on October 30, 2024 by Cynthia Marcotte Stamer

The $7 million in penalties the Securities and Exchange Commission (“SEC”) collected from four current and former public companies warns other public companies and their leaders of the growing risks of making materially misleading disclosures regarding cybersecurity risks and intrusions … Continue reading →

Posted in Board of Directors, CEO, CFO, Compliance, Cyber, D&O, data breach, Data Security, Director Liability, Director Liabiloity, FinCEN, Internal Controls, Leadership, management, Officers, Officers Liability, Performance Management, Privacy, Privacy, Risk Management, SEC, sentencing guidelines, Uncategorized | Tagged , , , , , , , , , , , | Leave a comment

Data Breach & Cyber Securities & Investor Risk Management

Posted on September 28, 2016 by Cynthia Marcotte Stamer

Corporations and their leaders to add reviewing prospectus and investor cyber security and data breach disclosures to their data breach and cyber security risk management and response to do lists help guard against  post event  shareholder claims and regulator investigations. … Continue reading →

Posted in Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Director Liability, Director Liabiloity, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Internal Controls, Officers, Officers Liability, Risk Management, Shareholder Liability, Turnaround Management, Uncategorized | Tagged , , , , | Leave a comment

Businesses Looking For Investment Without Registration Should Ensure Accredited Investor & Other Security Practices Up-To-Date

Posted on June 27, 2012 by Cynthia Marcotte Stamer

Public companies trading on national securities exchanges may need to update proxy disclosures on the use of consultants and adjust Board compensation committee practices in response to new rules implementing Section 10C of the Securities and Exchange Act (SEC) enacted as … Continue reading →

Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Internal Controls, Reengineering, Shareholder Liability, Tax, Uncategorized | Tagged , , , , , , , | Leave a comment

Businesses Looking For Investment Without Registration Should Ensure Accredited Investor & Other Security Practices Up-To-Date

Posted on June 7, 2012 by Cynthia Marcotte Stamer

Businesses looking to raise investment from private investors without registration in accordance with applicable federal and state securities laws requirements for publicly traded investments need to exercise care that their practices meet all requirements, particularly in light of recent changes to … Continue reading →

Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Internal Controls, Reengineering, Shareholder Liability, Tax, Uncategorized | Tagged , , , , , , , | Leave a comment