Search for: "Officer Oxley"
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3 Mar 2017, 9:43 am
Dodd-Frank created the SEC Office of the Whistleblower (“OWB”) to enforce its comprehensive whistleblower program. [read post]
3 Mar 2017, 6:16 am
Audeh & Corey Brown, Foley Hoag LLP, on Thursday, March 2, 2017 Tags: Accounting, Acquisition agreements, Confidentiality, Cross-border transactions, Disclosure, FCPA, Financial reporting, International governance, Mergers & acquisitions, Reporting regulation, Sarbanes–Oxley Act, SEC, Securities regulation The Bylaw Puzzle in Delaware Corporate Law Posted by David A. [read post]
27 Feb 2017, 6:41 am
Sixth Circuit: Qualified immunity for the officers. [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]
7 Feb 2017, 8:00 am
(The Sarbanes-Oxley Act had created an accounting board, whose heads were removable only for cause by the SEC, whose heads in turn were assumed to be removable by the president only for cause.) [read post]
20 Jan 2017, 12:00 am
For a free initial consultation contact the Law Offices of Timothy J. [read post]
16 Jan 2017, 5:00 am
You may not need the same level of protection as a firm that must meet Sarbanes-Oxley requirements, but you might want cyber protection. [read post]
22 Dec 2016, 9:26 am
One of those additional categories of disqualification comes from the Sarbanes-Oxley Act. [read post]
4 Dec 2016, 7:24 pm
The continuing discussion of issues surrounding the question of how corporate directors and officers can best be protected from their liability exposures has at its root a continued concern based upon the Enron settlement. [read post]
2 Dec 2016, 1:02 am
The self-identified failures of Enron director oversight not only led to what was at the time the largest bankruptcy in U.S. history, but also served as a leading prompt for the enactment of the Sarbanes-Oxley Act, and the corporate responsibility movement that followed. [read post]
1 Dec 2016, 7:38 am
Rowland's felony conviction precludes him for running for public office, but he is still able to assist with the political campaigns of others. [read post]
1 Nov 2016, 9:45 am
As an in-house tax attorney in Vanguard's Pennsylvania offices, David Danon allegedly discovered that Vanguard was filing false reports with the SEC and false tax returns with the IRS and raised these concerns internally. [read post]
31 Oct 2016, 7:16 am
Attorney’s Offices. [read post]
31 Oct 2016, 7:05 am
The SEC’s Office of Freedom of Information Act Services posted a spreadsheet containing the enforcement data.Commissioner votes. [read post]
20 Oct 2016, 12:04 pm
The complaint, filed in Delaware Court of Chancery, alleges common law fraud, securities fraud under California’s Corporations Code, and violations of Delaware’s Consumer Fraud Act and Deceptive Trade Practices Act, among other things, against Theranos, its Chief Executive Officer, Elizabeth Holmes, and its former Chief Operating Officer, Ramesh Balwani. [read post]
13 Oct 2016, 3:00 am
SOX Section 806 says that a successful plaintiff in a retaliation case is entitled to “all relief necessary” to make that individual whole – but the opinion cited only two cases when analyzing the propriety of a front pay award, neither of which involved a Sarbanes-Oxley retaliation case. [read post]
12 Oct 2016, 12:47 pm
” This observation contradicts the common understanding, shared by the Office of the Comptroller of the Currency (OCC) itself, of the OCC as an independent agency (although the OCC is technically a bureau of the U.S. [read post]
22 Sep 2016, 4:42 pm
********************* Section 304 of the Sarbanes-Oxley Act of 2002 (15 U.S.C. [read post]
19 Sep 2016, 6:19 am
Sarbanes Oxley (SOX) imposes a watchdog role for GCs since corporate attorneys must report any potential violation to the chief executive officer and if the response from these officers is inadequate, then to the board of directors to stop any potential wrongdoing. [1] The reasoning behind the SOX-imposed requirement is that GCs have a moral obligation to society at large to set the corporation in the right direction. [read post]
12 Sep 2016, 4:09 pm
The Court also held that the disgorgement remedy authorized under Section 304 of the Sarbanes-Oxley Act, 15 U.S.C. [read post]
