Search for: "Officer Oxley"
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16 Mar 2007, 5:46 am
Section 1519, a Sarbanes-Oxley amendment making it a federal offense to alter potential evidence in contemplation of a possible federal proceeding. [read post]
24 Mar 2014, 1:20 am
The Sarbanes Oxley Act was enacted nearly twelve years ago in the midst of profusion of corporate scandals. [read post]
24 Feb 2012, 7:00 am
Perhaps as a result of that, or maybe as a result of Sarbanes-Oxley or other reasons, accounting fraud cases just have not been brought in the numbers they were in years past. [read post]
2 Jan 2008, 1:53 am
The Editor interviews Robert Ballou , Chief Executive Officer, ONSITE 3 . [read post]
7 Jan 2010, 5:00 am
" The regulations for Section 406 provide: §229.406 (Item 406) Code of ethics: (a) Disclose whether the registrant has adopted a code of ethics that applies to the registrant's principal executive officer, principal financial officer, principal accounting officer or controller, or persons performing similar functions. [read post]
11 Jan 2009, 9:22 am
"All legal counsel should also be familiar with and understand the US regulatory framework, including Sarbanes-Oxley and the Foreign Corrupt Practices Act," according to the ACC Docket, Vol. 26, Nov. 2008 at 50. [read post]
23 Sep 2015, 3:28 am
Former Chief Risk Officer Enrico Dallavecchia and former Senior Vice President Thomas A. [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]
6 Jul 2015, 9:00 am
After the 2002 Sarbanes-Oxley Act authorized the SEC to claw back one year’s worth of incentive compensation from a CEO or CFO whenever there has been a financial restatement resulting from "misconduct," companies began voluntarily adopting clawback policies applicable to financial restatements. [read post]
13 Nov 2012, 12:33 am
Because Judge Kaplan’s holding depended in part on the relevant corporate officer’s internal control certification, the ruling may also have important implications with respect to the certifications required under Sarbanes Oxley. [read post]
30 May 2012, 11:00 am
Reacting to financial crimes such as Enron and Madoff, Congress enacted The Sarbanes Oxley Act ("SOX") whistleblower statute, which protects those who are fired in retaliation for blowing the whistle on corporation practices, which violate the securities laws. [read post]
30 Mar 2010, 10:34 am
One of those additional categories of disqualification comes from the Sarbanes-Oxley Act. [read post]
SOX Whistleblower Protection Extends to Employees of Private Contractors, According to Supreme Court
6 Mar 2014, 2:26 pm
Supreme Court ruled that employees of private contractors and subcontractors who contract with public companies are protected under the whistleblower provisions of the Sarbanes-Oxley Act of 2002 (SOX). [read post]
5 Dec 2010, 9:13 pm
In the Sarbanes- Oxley Act of 2002, Congress lowered the SEC’s burden in seeking a director and officer bar from showing “substantial unfitness” to serve to only showing “unfitness” to serve. [read post]
29 Jun 2018, 10:20 am
Office of Special Counsel, Congress, and other agencies to address the allegations appropriately. [read post]
7 Mar 2012, 3:20 am
A pair of Government Accountability Office audits in 2009 and 2010 had identified substantial problems with the WPP. [read post]
7 Mar 2012, 6:20 am
A pair of Government Accountability Office audits in 2009 and 2010 had identified substantial problems with the WPP. [read post]
11 Apr 2011, 3:50 am
” The panel includes very prominent attorneys, the head of the SEC’s Office of Small Business Policy, Gerald Laporte and Mary Sjoquist, head of communications for the PCAOB (Public Company Accounting Oversight Board). [read post]
27 Nov 2013, 11:00 am
The Sarbanes-Oxley Act of 2002 also requires executives to report within two business days to the Commission if they buy or sell their companies stock. [read post]
10 Aug 2009, 12:43 pm
Well, the problem is a change in the SEC's enforcement of Sarbanes-Oxley Section 304, the clawback provision. [read post]
