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7 Sep 2016, 7:02 am
Importantly, the court also held that Section 304 of the Sarbanes-Oxley Act (“SOX 304”) allows the SEC “to seek disgorgement from CEOs and CFOs even if the triggering restatement did not result from misconduct on the part of those officers. [read post]
6 Sep 2016, 6:53 am
CII and CAQ pointed to a Government Accountability Office study that found companies exempted from Section 404(b) experience more financial restatements, as compared to non-exempt companies. [read post]
30 Aug 2016, 7:56 am
Accepting the plaintiff's theory "would mean that thousands of corporate executives, compliance officers and lawyers are 'whistleblowing' every time they give advice about information they believe should be disclosed. [read post]
25 Aug 2016, 3:00 am
I’m a partner in the Cleveland office of Calfee, Halter & Griswold, where I’ve worked since I started my career in 1986. [read post]
29 Jul 2016, 3:39 am
Shas recently joined Hunton from the PCAOB, most recently serving as an Associate Director in the PCAOB’s Office of International Affairs, where he negotiated bilateral agreements providing for cross-border inspections with Germany, Denmark, Greece. [read post]
24 Jun 2016, 7:35 am
Shipchandler, Regional Director of the SEC's Fort Worth Regional office. [read post]
21 Jun 2016, 5:22 pm
The presumption is not available for claims against directors and officers; in claims against directors and officers, plaintiffs must establish loss causation. [read post]
16 Jun 2016, 2:48 pm
In short order, Morgan Stanley traced the breach to Marsh, a financial adviser working out of its New York offices. [read post]
16 Jun 2016, 4:12 am
– In the event of certain financial restatements, hold bad actors responsible by limiting ‘clawbacks’ of compensation to the current or former executive officers of a public company who had control or authority over the company’s financial reporting (Dodd-Frank Section 954). [read post]
8 Jun 2016, 8:26 am
Levin of the Los Angeles office. [read post]
23 May 2016, 6:07 pm
SB 1555: Would allow polygraph testing as a condition of employment for preemployment screening of law enforcement officers, subject to an applicable CBA. [read post]
19 May 2016, 2:33 pm
Laphen agreed to pay a $750,000 penalty and return to CSC more than $3.7 million under the clawback provision of Sarbanes-Oxley. [read post]
16 May 2016, 1:00 pm
” It is not entirely clear what would constitute “significant responsibility” under the second prong, but the rule indicates that such individuals could be an executive officer, senior manager, or any other person who “regularly performs similar functions. [read post]
6 May 2016, 3:50 pm
Jim McDermott (D-Wash) would bring the Sarbanes-Oxley Act into the world of modern technology by explicitly making cybersecurity a part of internal controls reporting. [read post]
24 Apr 2016, 6:44 am
Under Sarbanes-Oxley, attorneys are not required to make reports to the SEC and may be precluded from doing so because of ethical obligations to their clients. [read post]
22 Apr 2016, 3:37 am
Action 1: testing your readiness – Officers and directors of public companies always face the possibility that investors, regulators, and even criminal prosecutors might challenge their decisions. [read post]
22 Apr 2016, 3:37 am
Action 1: testing your readiness – Officers and directors of public companies always face the possibility that investors, regulators, and even criminal prosecutors might challenge their decisions. [read post]
19 Apr 2016, 7:58 am
Seidel, and former chief accounting officer Robert R. [read post]
14 Apr 2016, 1:54 pm
In addition, Sarbanes-Oxley added new requirements for management and auditors related to internal controls. [read post]
13 Apr 2016, 3:16 am
Keith talked about how Corp Fin has raised its materiality threshold in issuing comments – and how the Office of Disclosure Standards has assisted the Division in being more consistent about the type of comments issued. [read post]
