August 2002
A summary of articles published
on gcglaw.com of
interest to our
clients
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Gallagher, Callahan & Gartrell's
Government and Regulatory Review
SPECIAL SECTION
 Management often looks
to large corporations for "best practice" case studies, but in
the aftermath of the Enron and Worldcom scandals we can learn much from their
mistakes as
well. In our Corporate
Governance Resource Section we feature articles designed
to help businesses meet compliance requirements and avoid the enemy within.
Accounting Industry Reform Act
Here's a summary of the major reforms established by the new law
signed by President Bush on July 30.
Your Code of Ethics: How to Manage Risk of Fraud
And Prevent "Insider Abuse"
The requirements for effective corporate governance provide a good
roadmap for any business to assess risk and detect and prevent "insider
abuse."
By Susan B. Hollinger
The Merrill Lynch Lesson: Broker-Dealer Incurs $500,000 Fine;
Agrees to Arbitration and Compliance Review
The Merrill Lynch decision will cause broker-dealers to revisit and
reinvigorate their compliance procedures to assure that registered
agents conduct themselves in accordance with appropriate safeguards
in order to avoid solicitation abuse.
By Denis J. Maloney
Accounting for Stock Options: Change at Whose Expense?
With a move afoot to require expensing stock options on company financial
statements, now is the time to review stock ownership incentive plans
with an eye toward both short- and long-term productivity and profitability.
By Denis J. Maloney
ENERGY/UTILITIES
Our resident market analyst
expects market forces to create increased price volatility in the short
term, and highlights some ways businesses can protect themselves from
price spikes.
COMMENTARY: THE
PFUNDSTEIN REPORT
The movement among state insurance
regulators too assume control over the relationship between the consumer
and big business is the best defense against a proposed federal regulator.
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