Corporate Governance Standards: Code of Ethics or Conduct

Resource type: Practice Note

Status: Maintained

Jurisdiction: USA

A discussion of the corporate governance standards relating specifically to a company's code of ethics or business conduct as established by the SEC, the NYSE and NASDAQ. This Note reviews the Sarbanes-Oxley requirement that public companies disclose and describe their code of ethics for senior officers. This Note also describes and compares NYSE and NASDAQ standards relating to the subjects included in a code of ethics or code of conduct and the process for waiving any of its provisions. In addition, this Note raises issues for consideration in drafting a code of ethics or code of conduct.

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Resource ID: 6-501-3891
Products: PLC US Corporate & Securities, PLC US Law Department
This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.

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