Search for: "Officer Oxley"
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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]
5 Apr 2016, 6:55 pm
Its roots are in the public policy and governance best practices arising from the Sarbanes-Oxley era. [read post]
29 Feb 2016, 6:01 am
Pinedo is a partner in the New York office of Morrison & Foerster LLP. [read post]
22 Feb 2016, 4:36 pm
Corp, brought to light the potential personal liability faced by directors and officers. [read post]
17 Feb 2016, 11:22 am
As required by Section 304(a) of the Sarbanes-Oxley Act, Marrone Bio CEO Pamela G. [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]
20 Jan 2016, 1:02 pm
She joined the SEC’s Office of General Counsel in 1989 and served as counsel to former Chairman Richard C. [read post]
13 Jan 2016, 5:05 pm
John Reed Stark David Fontaine In this day and age, the members of the boards of directors of most companies understand that cybersecurity issues are both important and should be a board-level priority. [read post]
8 Jan 2016, 3:14 am
When an activist investor launched a consent solicitation to remove four members of the board in late 2015, Vaalco responded that any such written consent would be “null and void” because its directors could “only be removed from office for cause. [read post]
21 Dec 2015, 5:00 am
Office of Management and Budget to report on Dodd-Frank Act implementation costs. [read post]
14 Dec 2015, 5:22 pm
In identifying who can be held liable for whistleblower retaliation, Sarbanes-Oxley refers to “any officer, employee, contractor, subcontractor or agent of such company. [read post]
10 Dec 2015, 2:00 am
July 31, 2015) — Sarbanes-Oxley whistleblower provisions. [read post]
2 Dec 2015, 5:59 am
Cuomo announced that New York is proposing a new anti-terrorism and anti-money laundering regulation that includes a requirement modeled on Sarbanes-Oxley that the chief compliance officer certify that their institutions has sufficient systems in place to detect, weed out, and prevent illicit transactions. [read post]
30 Nov 2015, 6:15 am
Yates, a commercial fisherman, was charged with violating the anti-shredding provision of the Sarbanes-Oxley Act (SOX). [read post]
11 Nov 2015, 6:49 am
Treasury’s Office of Financial Research. [read post]
18 Oct 2015, 4:57 pm
In its action against Pence, the SEC is seeking permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest and penalties, and an officer-and-director bar. [read post]
16 Oct 2015, 6:32 am
For instance, Sarbanes-Oxley (SOX) mandates that a company have a hotline. [read post]
23 Sep 2015, 3:28 am
Former Chief Risk Officer Enrico Dallavecchia and former Senior Vice President Thomas A. [read post]
15 Sep 2015, 1:57 pm
[New York Times] * Just how far is the reach of the Sarbanes-Oxley Act? [read post]
14 Sep 2015, 9:05 pm
Available evidence suggests the opposite [Radley Balko, more] New York Times covers shaken-baby syndrome with look back at Louise Woodward trial [Poynter; Boston Globe on shaken baby syndrome in May; earlier] Study from National Association of Criminal Defense Lawyers (NACDL) on gaps in indigent defense misses chance to highlight voucher/choice remedies [Adam Bates, Cato] The far reach of Sarbanes-Oxley: “You Can Be Prosecuted for Clearing Your Browser History” [Juliana… [read post]
