Search for: "Officer Oxley"
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29 Sep 2014, 2:22 pm
Attorney’s Offices, and investigating agencies, we can bring more cases and hold more companies and individuals responsible for the crimes they commit. [read post]
16 Sep 2014, 11:40 am
These governmental offices were established to fill out and enforce on an ongoing basis legislation that increasingly merely set goals, targets or objectives and delegated the details to organizations charged with their realization. [read post]
16 Sep 2014, 4:29 am
Armed with the law they needed and facile at applying it, graduates were equipped for practice, a generalized practice that still bore more similarities lawyer to lawyer and office to office than not. [read post]
29 Aug 2014, 7:00 am
In Becker, the Plaintiff, a former chief financial officer for Community Health Systems, Inc. [read post]
17 Aug 2014, 6:00 am
The SEC’s approach has the potential to broaden practical exposure to liability for corporate officers who sign financial statements and certifications required under Section 302 of the Sarbanes-Oxley Act (“SOX”). [read post]
14 Aug 2014, 3:09 am
It notes who was interviewed during the investigation (all of the SEC commissioners, 5 staffers of the Office of the Chair and 18 staffers of the Offices of the Commissioners) and much more. [read post]
4 Aug 2014, 5:45 am
Alas, the long, slow plodding implementation of the Dodd-Frank Act can make us sometimes forget about the legislation that was implemented by the SEC in relatively short order − the Sarbanes-Oxley Act of 2002, and, in particular, the internal control provisions of SOX. [read post]
4 Aug 2014, 4:13 am
The CFO agreed to pay a $23,000 penalty and also agreed to a five year ban from practicing as an accountant before the SEC or serving as the officer or director of a public company. [read post]
31 Jul 2014, 1:41 pm
., a Florida-based computer equipment company, with violation of the antifraud and other provisions of the Securities Exchange Act of 1934 and the Sarbanes-Oxley Act of 2002. [read post]
8 Jul 2014, 9:37 am
This specific analysis “found that Obama has issued an average of 56 economically significant regulations per year during his time in office. [read post]
22 Jun 2014, 10:21 am
It is by no means inconceivable that bills will be introduced seeking to impose, in GM-like situations, a Sarbanes-Oxley style “reporting” requirement on internal lawyers (or outside counsel, or both), coupled with a “private attorney general” concept and whistleblower bounties. [read post]
13 Jun 2014, 5:55 am
The latter half of the Article concludes that much of the compliance officer’s work falls within two categories: corporate policing and corporate architecture. [read post]
9 Jun 2014, 4:31 am
The majority’s reasoning placed heavy emphasis on the purposes of Sarbanes-Oxley in preventing fraud at public companies. [read post]
5 Jun 2014, 11:54 am
Plaintiff Webb-Weber was the chief operating officer of defendant Community Action for Human Services, Inc. [read post]
19 May 2014, 2:49 pm
I have been considering current efforts to implement the U.N. [read post]
7 May 2014, 9:30 pm
The Act established a separate office in the U.S. [read post]
2 May 2014, 12:28 pm
United States, 13-7451 (involving whether Sarbanes-Oxley’s “anti-shredding” prohibition can be used to go after small fry) were first-time relists last week. [read post]
28 Apr 2014, 3:00 pm
" The Federal Public Defender's Office for the Middle District represents Yates. [read post]
28 Apr 2014, 11:11 am
, without having to pay the usual fees, due to his penury), which was prepared by the public defender's office. [read post]
28 Apr 2014, 10:11 am
Yates contends that section 1519, enacted as part of the ‘anti-shredding provision’ of the Sarbanes-Oxley Act of 2002, was never intended to prohibit the destruction of non-documentary, non-informational items such as fish and thus did not apply to his alleged destruction of fish,” his petition says. [read post]
