Directors and Officers (D&O’s) have responsibilities by law to the corporations they serve, whether publicly traded, privately owned or not-for-profit. D&O’s of publicly traded corporations are primarily at risk for alleged violations of federal securities laws such as the SEC Act of 1933 & 1934, Sarbanes Oxley, and other federal, and state securities laws. These exposures are significant, well documented and a topic for a separate analysis. Perhaps less clear are the exposures faced by D&O’s of private corporations (and not-for-profit organizations).
Please click below to begin a 20 statement survey to gain your organization’s IQRM Effectiveness Risk Audit Score for Directors and Officers Liability.