Search for: "Officer Oxley"
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18 May 2009, 3:36 am
The Court has not fully elaborated the line between principal and inferior officers, but under any approach, it is hard to see how Board members could be principal officers. [read post]
15 Jun 2010, 5:58 pm
" Under Section 406 of the Sarbanes-Oxley Act 2002, public companies are required to have a strict code of ethics covering its senior financial officers (principal executive officer, principal financial officer, principal accounting officer) and such companies must disclose any changes, waivers, or violations of their codes of ethics. [read post]
14 Mar 2012, 1:45 pm
There is actually an Office of Whistleblower Protection Program. [read post]
26 May 2010, 5:30 am
Well, that may be a bit of an overstatement, but the Administrative Review Board, which gets the final appellate say at the administrative level of Sarbanes Oxley claims has asked the Assistant Secretary of OSHA and the SEC, and it appears other amici, to submit briefs addressing four specific questions:Is a subsidiary categorically covered under §806 (e.g., Morefield/Walters)? [read post]
20 Jul 2009, 11:46 am
According to Zuckerman, "Merit findings will increase with President Barack Obama in office and Secretary of Labor Hilda Solis running the DOL. [read post]
7 Aug 2007, 5:15 am
Impact of Sarbanes-Oxley Act John M. [read post]
1 Sep 2011, 1:13 am
The SEC has previously accused Beazer Homes and its former chief accounting officer, Michael Rand of accounting fraud. [read post]
3 Apr 2008, 5:15 am
As the debate swirls around the regulatory response to the current crisis in the financial markets, it bears noting the impact of Sarbanes Oxley, a law that until recently was pilloried as an example of over regulation. [read post]
30 Jan 2011, 6:34 pm
Recent whistleblower cases making the headlines: • Last week, Lockheed Martin settled allegations that it submitted false claims on a US government contract for $2 million related to its work on the Naval Oceanographic Office Major Shared Resource Center. [read post]
28 Feb 2007, 4:59 am
Whistleblowers famously helped publicize the corporate scandals that gave rise to Sarbanes-Oxley: think Sherron Watkins at Enron and Cynthia Cooper at WorldCom—two of Time Magazine’s “Persons of the Year” for 2002. [read post]
20 Nov 2009, 2:53 pm
At issue: the constitutionality of a section of the 2002 Sarbanes-Oxley Act, the anti-fraud legislation passed in the wake of the Enron/Worldcom era. [read post]
27 Mar 2012, 5:00 am
SOX’s whistleblower protection provision states that no public company or “officer, employee, contractor, subcontractor, or agent…of such company” may “discriminate against an employee” for engaging in a protected activity. [read post]
24 Sep 2010, 1:49 pm
Even after a hearing officer finds that the alleged violations occurred, the matter may remain non-public until appealed to the SEC. [read post]
9 Feb 2016, 1:00 pm
Patel began working in the Los Angeles office in 2001 as a staff attorney and became an Assistant Director in 2009. [read post]
8 Nov 2006, 2:55 am
He is also a strong advocate for the proper implementation of the Fair Fund provisions of the Sarbanes-Oxley Act.Rep. [read post]
9 Dec 2009, 9:08 am
It's not possible to know how many of these other dual for-cause removal structures would be unconstitutional, should the Court strike down Sarbanes-Oxley on that basis. [read post]
8 May 2023, 1:50 pm
In 2014, Murray sued UBS under Section 1514A of the Sarbanes-Oxley Act, alleging that his termination was in retaliation for whistleblowing. [read post]
4 Jan 2009, 4:47 pm
By way of background, let me offer a few words about the Sarbanes-Oxley Act (“SOX”). [read post]
30 Aug 2011, 1:15 pm
“Section 304 of the Sarbanes-Oxley Act encourages senior management to take affirmative steps to prevent fraudulent accounting schemes from occurring on their watch,” said Rhea Kemble Dignam, director of the SEC’s Atlanta Regional Office in a news release. [read post]
26 Feb 2015, 6:15 am
The Supremes reversed the 11th Circuit in the Sarbanes-Oxley Fish case yesterday. [read post]
