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23 Oct 2013, 1:24 pm
§ 78u-6(h)(1)(a), which prohibits retaliation against a whistleblower who makes disclosures required or protected by the Sarbanes-Oxley Act, among other laws, does not apply extraterritorially. [read post]
13 Jun 2014, 5:55 am
The latter half of the Article concludes that much of the compliance officer’s work falls within two categories: corporate policing and corporate architecture. [read post]
16 Apr 2024, 5:34 am
The question the justices will consider is whether a provision of the Sarbanes-Oxley Act, enacted in the wake of the collapse of the energy giant Enron, covers the conduct of a former police officer, Joseph W. [read post]
1 Apr 2013, 9:00 am
The Second Circuit’s Recent Sarbanes-Oxley Decision Explains Jason M. [read post]
3 Feb 2008, 12:06 am
Source: Sarbanes-Oxley [read post]
8 Nov 2019, 10:02 am
Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) administer whistleblower claims under the Sarbanes-Oxley Act of 2002. [read post]
15 Apr 2021, 2:35 pm
These proposed changes are motivated by a desire to move the UK closer to the Sarbanes-Oxley regime, which is seen as having improved reporting standards for listed US companies. [read post]
13 Feb 2017, 4:32 pm
In the wake of the era of corporate scandals, Congress enacted the Sarbanes-Oxley Act. [read post]
12 Oct 2008, 12:15 pm
For more on this, see Criticizing the Critics: Sarbanes Oxley and Quack Corporate Governance. [read post]
15 Jul 2010, 7:59 am
Will Dodd and Frank’s names become as synonymous with securities law changes as Sarbanes and Oxley? [read post]
6 Dec 2013, 8:30 am
Previously, employees had to mail a complaint, or visit or call an OSHA office. [read post]
6 Oct 2009, 11:41 am
Securities and Exchange Commission (SEC) announced the upcoming expiration of the exemption from section 404 of the Sarbanes-Oxley Act currently enjoyed by public companies with a public float below $75 million. [read post]
6 Dec 2013, 8:30 am
Previously, employees had to mail a complaint, or visit or call an OSHA office. [read post]
15 Jul 2010, 2:03 pm
And second, though they won't be implementing much, the office of insurance created by the act. [read post]
29 Jun 2010, 3:07 pm
Many have noted that the decision—striking down a provision of the Sarbanes-Oxley Act (“SOX”) that provided PCAOB members could only be removed for cause—will have little practical effect in the business world (the Wall Street Journal quotes Office Max’s CFO going so far as to say “[w]hat happens as a consequence of the rulings today is frankly not important”). [read post]
5 Mar 2014, 5:28 am
The Court interpreted Sarbanes Oxley's whistleblower retaliation provision:No [public] company . . . , or any officer, employee, contractor, subcontractor, or agent of such company, may discharge, demote, suspend, threaten, harass, or in any other manner discriminate against an employee in the terms and conditions of employment because of [whistleblowing or other protected activity].18 U.S.C. [read post]
6 Sep 2017, 12:11 pm
Newell, Chief Executive Officer, Sutro Biopharma Inc.Leonard L. [read post]
20 Oct 2009, 8:42 am
The September/October issue of The Pomerantz Monitor reports on the first "clawback" action brought by the SEC for violation of Section 304 of the Sarbanes-Oxley Act. [read post]
7 Dec 2007, 2:07 am
Perhaps the most on-point is 18 U.S.C. 1512(c)(1), enacted as part of Sarbanes-Oxley, which makes it a felony to "corruptly alter[], destroy[], mutilate[], or conceal[] a record, document, or other object, . . . with the intent to impair the object's . . . availability for use in an official proceeding. [read post]
8 Feb 2012, 9:35 am
" The Court based this upon principles of statutory interpretation and a review of the legislative history of the Sarbanes-Oxley Act. [read post]
