7. Compliance

Depending on the corporation and the background of the Corporate Secretary, he or she may be responsible for or play a major role in preparing and filing registration statements and reports to the Securities and Exchange Commission, insider trading reports, filings and amendments of state corporate documents, documents related to qualifications to do business, and other regulatory or legal filings. The Corporate Secretary is often the person responsible for pre-clearing purchases and sales of the corporation's securities by directors and officers. The Corporate Secretary may also play a role in preparing corporate communications on matters of significance to the corporation, including essential disclosures.

In some corporations, the Corporate Secretary is also responsible for compliance with state escheat laws and, occasionally, for general legal compliance for the company as a whole. Some Corporate Secretaries are involved in administering their corporation's code of corporate conduct and developing and administering other corporate-wide policies and policy manuals.

Go back to intro - The Corporate Secretary - Duties and Responsibilities

1. Board and Committee Meetings
2. Annual Meeting of Shareholders
3. Corporate Records
4. Stock Transfer
5. Securities Markets
6. Director, Officer, and Shareholder Concerns
7. Compliance

Society of Corporate Secretaries and Governance Professionals
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