Topics in Securities & Governance. 1 credit

Catalog description

This course will explore the evolution of the in-house securities, governance and disclosure function and the key role this function plays in the ecosystem of a publicly traded company in the United States. We will explore the key legal and regulatory frameworks within which the role operates; other third-party standards relevant to the role (including stock exchange listing standards, institutional investor and proxy advisory voting policies and ESG rating firms criteria); the interaction of the role with internal and external stakeholders such as directors, executive officers, auditors, compensation consultants, attorneys, shareholders, activists, proxy advisory firms and ESG rating firms; and best practices for addressing legal and stakeholder requirements while also efficiently and effectively supporting the purpose, strategy and operation of the business.Offered by Law. May not be repeated for credit.