Tag Archives: compliance

Deadline approaching for public companies to adopt Dodd-Frank clawback policies

By Greg Daugherty and Rich Helmreich on September 20, 2023

This summer, the Securities and Exchange Commission (SEC) approved final Dodd-Frank clawback policy listing requirements for both the NYSE (NYSE Listed Company Manual Section 303A.14) and Nasdaq (Nasdaq Listing Rule 5608). The listing standards provide that these compensation recovery policies apply to compensation received on or after Oct. 2, 2023, but listed companies have until … Continue Reading

Will the DOL continue to make ESOPs a compliance priority?

By Bob Tannous on May 15, 2017

Greg Daugherty, our colleague at Employee Benefits Law Report shared a post exploring whether or not the Department of Labor (DOL) under President Trump will continue to make employee stock ownership plans (ESOPs) a compliance priority. A recently filed case suggests that the DOL may continue to make a priority out of investigating potential abuses in ESOP transactions. … Continue Reading