SEC

Second Issue of "From The Source" Released Today

Supply Chain & Regulated Materials Management Newsletter
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In response to requests for a single source "news alert" on key events in supply chain and regulated materials compliance, earlier this month Source Intelligence introduced "From The Source," a direct mail and web-based newsletter written to keep you informed at a glance. This morning they released the second issue. 

2014 promises to be an exciting year as the theme of "transparency" and the impact of technology continue to transform the delivery chain of products, impacting every player up and down stream.

7 Leading Industry Associations Join Forces To Launch The Single Largest Initiative To Help Address Conflict Minerals Compliance Questions

Press Release

Washington DC, January 21, 2014 /3BL Media/ - Seven of the world’s largest industry associations collaborate with Source Intelligence and Schulte Roth & Zabel LLP to launch the first cross-industry training and resource center, addressing the Securities and Exchange Commission’s (SEC) Conflict Minerals compliance regulation.

SEC Seeks to Protect Compliance Officers

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Misguidance and fraud internally within a business can have severe repercussions. On August 27, SEC demonstrated absolute intolerance in the case of Carl Johns, a portfolio manager who was in violation of Rule 38a-1 of the Investment Company Act that prohibits corrupt financial persuasion and ill-advising of a chief compliance officer’s duties.

The SEC Defends Dodd-Frank Wall Street Reform and Consumer Protection Act

The Washington DC court of appeals hears arguments challenging the conflict minerals provisions of the Dodd-Frank Act
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For the second time the regulations put forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act are being challenged. This time a business consortium brought the SEC before the DC Circuit court where 3 judges heard arguments from Peter Keisler from the business coalition and Tracey Hardin from the SEC.

SEC Posts New Form SD on Its Website

Issuers with conflict minerals necessary to production must provide a specialized disclosure report on the new Form SD by May 31st of each year
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Last Friday, the SEC posted a new Form SD on its website. The SD form is used by companies to disclose requirements implemented under the Dodd-Frank Wall Street Reform and Consumer Protection Act which relates to any publicly traded company whose products are identified as containing one or more of the four conflict minerals (tantalum, tin, tungsten and gold also known as “3TG”) suspected to have originated in the DRC or surrounding countries.

Mega Brand Intel and Robin Wright

Article

The international Consumer Electronics Show (CES) is taking place this week and it has had a powerful effect on bystanders, especially when the CEO of Intel, Brian Krzanich took the stage. Every year the trade show draws an audience over a 100,000 at the Las Vegas Convention Center in Nevada. During Krzanich’s keynote he took a moment to announce that all microprocessors sold in 2014 will be Conflict-Free of any raw minerals that have derived from grave human rights abuses in Africa.

Industry Groups Attempt To Overturn Conflict Minerals Rule

US Court of Appeals to hear a challenge by three industry groups against the rule Tuesday
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On May 31, 2014 under Section 1502 of the SEC’s Conflict Minerals Rule, U.S. publicly traded companies will have to file a special disclosure for the 12-month reporting period ending on December 31, 2013. The aim of the rule, mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, is to provide transparency into corporate practices and specifically to reduce funding for armed groups involved in human rights violations in the Democratic Republic of the Congo and surrounding countries. 

Source Intelligence Releases New Paper

Conflict Minerals Compliance Program Implementation: An Analysis of 4 Prevailing Approaches
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On May 31, 2014 under Section 1502 of the SEC’s Conflict Minerals Rule, U.S. publicly traded companies will have to file a special disclosure for the 12-month reporting period ending on December 31, 2013. The aim of the rule, mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, is to provide transparency into corporate practices and specifically to reduce funding for armed groups involved in human rights violations in the Democratic Republic of the Congo and surrounding countries.

Violent Attacks in Capital Congo

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Early Monday morning December 30th, 40 people were killed in the crossfire of terrorism in Congo’s capital. The rebels dressed in regular attire entering the state television station, the airport and the main military base, were fueled with ammunition. They also carried machetes, sticks, and pieces of wood to attack bystanders. The terrorists disrupted a morning Congolese talk show in attempts to circulate an indirect message of self-proclaimed prophet Joseph Mukungubila, an unorthodox fundamentalist.

Are You Feeling Overwhelmed With The Second Conflict Minerals Reporting Period Starting Yesterday?

Article

With every new year comes resolutions.  This year if one of your companies is to intensify your conflict minerals reporting, Source Intelligence has the answer for you. Don’t let your company be left out in the cold by being one of the only companies in your industry unprepared now that reporting is in its second year.

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