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2 Jan 2018, 5:08 pm
The world of directors’ and officers’ liability is always dynamic, but 2017 was a particularly eventful year in the D&O liability arena. [read post]
15 Dec 2017, 6:13 am
Securities and Exchange Commission, on Wednesday, December 13, 2017 Tags: Accounting, Audits, Broker-dealers, External auditors, Investor protection, Oversight, PCAOB, Sarbanes–Oxley Act, SEC, Securities regulation Statement on Cryptocurrencies and Initial Coin Offerings Posted by Jay Clayton, U.S. [read post]
22 Nov 2017, 6:27 am
Moreover, loan officer training should include the proper use of rate sheets. [read post]
13 Oct 2017, 6:45 am
Restitutive clawbacks were sanctioned by Sarbanes-Oxley Act Section 304 in response to allegations in the early 2000s that executive compensation was boosted by financial misreporting. [read post]
6 Sep 2017, 12:11 pm
Newell, Chief Executive Officer, Sutro Biopharma Inc.Leonard L. [read post]
4 Sep 2017, 2:20 pm
Two of President Trump’s appointments have the greatest potential to have a significant impact on companies and their directors and officers. [read post]
14 Jul 2017, 3:21 pm
The earlier Sarbanes-Oxley Act of 2002 (SOX), which was a measure in its own right to address the failings that led to the 2001 financial crisis, provides civil protections to employees (including officers or subcontractors) of a publicly traded company against any kind of retaliation by the employer. [read post]
10 Jul 2017, 7:09 am
According to the court, Ann Marie Reyher is an experienced CPA who was recruited in 2016 to work for defendant Grant Thornton, LLP as a managing director in its Philadelphia office. [read post]
26 Jun 2017, 9:51 am
Zinober is a shareholder in the firm’s Tampa and Orlando offices. [read post]
21 Jun 2017, 6:10 am
When Jimmy Carter was voted out of office in 1980, he invented an entirely new job: active post-president. [read post]
21 Jun 2017, 6:10 am
When Jimmy Carter was voted out of office in 1980, he invented an entirely new job: active post-president. [read post]
7 Jun 2017, 1:12 pm
In today’s world of regulations like Sarbanes Oxley that require adherence to financial controls, that result is astounding. [read post]
7 Jun 2017, 1:12 pm
In today’s world of regulations like Sarbanes Oxley that require adherence to financial controls, that result is astounding. [read post]
25 May 2017, 6:19 am
Mar. 1, 2017), Maryland’s federal district court granted a motion to dismiss claims brought under the Sarbanes-Oxley Act of 2002 (SOX) and the Dodd-Frank Act of 2010 by Samuel Olekanma, a corrections officer at the Jessup Correctional Institution (“JCI”). [read post]
12 May 2017, 6:49 am
IPO market.Chris Coper, global chief financial officer of Sequoia Capital, said that CEOs tell him regulation, including the oft-blamed Sarbanes-Oxley Act (SOX), is not a hurdle to going public. [read post]
21 Apr 2017, 6:21 am
Department of Labor, which enforces the whistleblower retaliation provisions of the Sarbanes-Oxley Act (SOX), drew attention to a recent opinion in the U.S. [read post]
11 Apr 2017, 5:37 pm
In September 2016, fines and penalties totaling $185 million were imposed on the bank, including a $100 million fine by the Consumer Financing Protection Bureau, $35 million penalty to the Office of the Comptroller of the Currency, and another $50 million to the City and County of Los Angeles. [read post]
28 Mar 2017, 4:32 pm
The individual defendants are current and former officers of Electrobras. [read post]
17 Mar 2017, 2:22 pm
These concerns arose after the company’s officers learned in 2009 that there were FCPA violations in Vietnam, Thailand, and Russia. [read post]
3 Mar 2017, 9:43 am
Dodd-Frank created the SEC Office of the Whistleblower (“OWB”) to enforce its comprehensive whistleblower program. [read post]
