US Issuers

The work of compliance professionals has never been more challenging than in today’s corporate regulatory environment. That’s why legal and compliance departments at publicly listed U.S. companies are increasingly turning to CRSTL Solutions for assistance in navigating the growing set of rules and regulations.

CRSTL’s compliance databases for public issuers listed on the NYSE Euronext and NASDAQ are designed to ensure that your compliance program meets the requirements of Sarbanes-Oxley, the 1933 and 1934 Acts, stock exchange listing rules and associated regulations, covering topics such as:

• CEO and CFO certifications pursuant to SOX 302
• Related party transactions
• Off-balance sheet arrangements
• Approvals of audit and non-audit services
• Prohibitions on trading during pension fund blackout periods

To address these requirements, CRSTL works with leading law firms to convert applicable rules and regulations into databases of assessment questionnaires that are distributed to stakeholders via governance, risk and compliance (GRC) software platforms such as CRSTL’s Compliance Positioning System.

Apart from shareholder lawsuits and reputational damage, a corporate officer who fails to comply or submits an inaccurate certification, even as the result of a mistake, is subject to a fine up to $1 million and 10 years in prison.

Contact us today to find out how CRSTL’s Compliance Databases for U.S. Issuers can give your directors, senior management and shareholders confidence in the effectiveness of your regulatory compliance program.