Practical corporate governance: for smaller quoted companies and private companies
Gespeichert in:
| Format: | Buch |
|---|---|
| Sprache: | English |
| Veröffentlicht: |
Bristol
Jordan Publ.
2008
|
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XX, 303 S. 1 CD-ROM |
| ISBN: | 9781846611261 |
Internformat
MARC
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Datensatz im Suchindex
| _version_ | 1804138643577634816 |
|---|---|
| adam_text | Titel: Practical corporate governance
Autor: Mellor, John
Jahr: 2008
CONTENTS
Preface V
Acknowledgments XV
Abbreviations xvii
Introduction xix
Chapter 1
The Combined Code on Corporate Governance - the Code 1
Purpose of this chapter 1
The Code 2
Publication of the Code 2
Origins of the Code 3
Structure of the Code 4
Regulatory status 4
Sanctions 6
The comply or explain principle 6
Disclosure by companies 7
Evaluation by institutional shareholders 8
Monitoring and review by the FRC 8
Contents of the Code 10
Introduction 10
Section 1 - Companies 11
A Directors 11
A.l The Board 11
A.2 Chairman and Chief Executive 14
A.3 Board Balance and Independence 15
A.4 Appointments to the Board 17
A. 5 Information and Professional Development 18
A.6 Performance Evaluation 19
A.7 Re-elections 20
B Remuneration 20
B. 1 The Level and Make Up of Remuneration 21
B.2 Procedure 21
C Accountability and Audit 22
C. 1 Financial Reporting 22
C.2 Internal Control 23
C.3 Audit Committees and Auditors 23
D Relations with Shareholders 25
D. 1 Dialogue with Institutional Shareholders 25
x Practical Corporate Governance
D.2 Constructive Use of the AGM 26
Section 2 - Institutional Shareholders 26
E.l Dialogue with Companies 27
E.2 Evaluation of Governance Disclosures 27
E.3 Shareholder Voting 28
Chapter 2
Governance of AIM Listed and Private Companies 29
Introduction 29
Alternative Investment Market (AIM) Companies 29
The London Stock Exchange Rules for AIM Companies 30
Nominated adviser responsibilities 31
Practical corporate governance for AIM companies 32
The QCA Corporate Governance Guidelines for AIM
companies 33
AIM company experience 34
National Association of Pension Funds (NAPF) Policy and
Voting Guidelines for AIM companies 35
A message on governance for AIM companies 37
Private companies 38
Governance of private companies 39
Collective responsibilities of the board 41
The role and responsibilities of individual board members 42
Risk and internal control 43
Checklist of questions on the governance of private companies 43
Chapter 3
The Duties of Directors 47
Introduction 47
The Companies Acts 1985 and 2006 47
Government statement on directors new statutory duties (June
2007) 48
The duties of a director can be put down to common sense
applied with integrity, thoughtfulness and an acute sense
of responsibility 49
General duties of directors 49
The meaning of director and shadow director 50
Derivative claims 50
Ensuring directors are aware of their duties 50
The scope and nature of directors general duties (s 170) 51
Duty to act within powers (s 171) 51
Duty to promote the success of the company (s 172) 52
Duty to exercise independent judgment (s 173) 53
Duty to exercise reasonable care, skill and diligence (s 174) 54
Duty to avoid conflicts of interest (s 175) 55
Duty not to accept benefits from third parties (s 176) 56
Duty to declare interest in proposed transaction or
arrangement (s 177) 56
Contents xi
Induction of directors 57
Induction Guidance (ICSA) 58
Essential information to be provided immediately 58
Directors duties 58
The company s business 58
Board issues 59
Additional material to be provided during the first few
months 59
Chapter 4
The Non-executive Director 61
Introduction 61
The unitary board and chairman s role 62
The unitary board structure 62
The chairman 63
Legal responsibilities and liability 63
Core elements of the role of the non-executive director 65
Two principal components 65
The key to non-executive director effectiveness 66
Behaviours and personal attributes of the effective non-executive
director 67
Independent non-executive directors and board balance 69
Membership of board committees 70
Information for non-executive directors 71
Induction, professional development and performance evaluation 71
Induction 71
Higgs Review Guidance 71
Professional development 73
Performance evaluation 73
Relationship with shareholders 74
Recruitment and appointment of non-executive directors 74
Due diligence for non-executive directors 75
Due Dilligence checklist (ICSA) 75
Questions to ask 76
Letter of non-executive director appointment 78
Chapter 5
Company Boards and their Committees 79
Introduction 79
The unitary board 79
The chairman*s role in corporate governance 80
Guidance for the chairman 81
The chairman s status 83
The board s role 84
Matters reserved for the board 85
The company secretary 86
The company secretary s role in corporate governance 87
Board minutes 89
xii Practical Corporate Governance
Board effectiveness 90
Board size and balance 91
Board performance evaluation 91
Board committees 94
Chapter 6
Shareholders and Corporate Governance 97
Introduction 97
Corporate governance reporting 98
Smaller quoted companies 98
Auditor s report on corporate governance 100
Corporate governance reporting in practice 101
Alexandra pic 101
Ricardo pic 105
AIM companies 106
Basic disclosures for AIM companies 106
Engagement between company boards and institutional
shareholders 108
The current status of engagement 109
Overview 109
Conclusions from evidence-based research on engagement 109
Financial Reporting Council (FRC) Reviews 111
IMA Survey 111
NAPF Survey 112
Hermes UK Focus Fund research 112
Impediments to engagement 112
Other perspectives on engagement 113
The private equity model 113
The hedge fund model 115
A case study on engagement 116
The key issues on engagement 118
Key issue conclusions 122
Practical recommendations and guidelines on engagement 122
Corporate governance and raising capital 124
Appendix 1
The Combined Code on Corporate Governance (June 2008): Code
of Best Practice - Sections 1 and 2 127
Appendix 2
The Combined Code on Corporate Governance (June 2008)
Schedule A: Provisions on the design of performance related
remuneration 143
Appendix 3
The Revised Turnbull Guidance on Internal Controls (October
2005) 145
Contents xiii
Appendix 4
The Smith Guidance on Audit Committees (October 2005) 163
Appendix 5
Quoted Companies Alliance (QCA) - Corporate Governance
Guidelines for AIM Companies (July 2005): pp 6-15 179
Appendix 6
National Association of Pension Funds (NAPF) -
Corporate Governance Policy: Policy and Voting Guidelines
for AIM Companies (March 2007): pp 5-10 189
Appendix 7
The Institute of Chartered Accountants of Scotland (ICAS) -
Avoiding the pitfalls in running a private company: a practical
guide for directors (April 2008): pp 8-18 197
Appendix 8
Companies Act 2006, Part 10 Chapter 2 - General Duties of
Directors: Sections 170-180 213
Appendix 9
Higgs Review (January 2003) - Sample Letter of Non-executive
Director Appointment 219
Appendix 10
QCA Guidance For Smaller Quoted Companies (August 2004):
p 20 Appendix A: Matters Which Should be Presented to the
Board 221
Appendix 11
Institute Of Chartered Secretaries and Administrators (ICSA)
Guidance on Terms of Reference - Remuneration Committee 225
Appendix 12
Institute of Chartered Secretaries and Administrators (ICSA)
Guidance on Terms of Reference - Audit Committee 233
Appendix 13
Institute of Chartered Secretaries and Administrators (ICSA)
Guidance on Terms of Reference - Nomination Committee 243
Appendix 14
The Combined Code (June 2008), Schedule C: Disclosure of
Corporate Governance Arrangements 251
Appendix 15
Combined Code Checklist 257
xiv Practical Corporate Governance
Appendix 16
Institute of Chartered Secretaries
and Administrators (ICSA) Guidance Note: Listed Company
Reporting Requirements for Directors Remuneration 275
Appendix 17
Corporate Governance Statement - Ricardo Pic 279
Appendix 18
Institutional Shareholders Committee (Updated June 2007): The
Responsibilities of Institutional Shareholders and Agents -
Statement of Principles 289
Appendix 19
Further Reading 295
Appendix 20
Useful Websites 297
Index 299
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| spelling | Practical corporate governance for smaller quoted companies and private companies John Mellor Bristol Jordan Publ. 2008 XX, 303 S. 1 CD-ROM txt rdacontent n rdamedia nc rdacarrier Mellor, John Sonstige oth HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=017135701&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Practical corporate governance for smaller quoted companies and private companies |
| title | Practical corporate governance for smaller quoted companies and private companies |
| title_auth | Practical corporate governance for smaller quoted companies and private companies |
| title_exact_search | Practical corporate governance for smaller quoted companies and private companies |
| title_full | Practical corporate governance for smaller quoted companies and private companies John Mellor |
| title_fullStr | Practical corporate governance for smaller quoted companies and private companies John Mellor |
| title_full_unstemmed | Practical corporate governance for smaller quoted companies and private companies John Mellor |
| title_short | Practical corporate governance |
| title_sort | practical corporate governance for smaller quoted companies and private companies |
| title_sub | for smaller quoted companies and private companies |
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