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27 Jul 2022, 9:16 pm
This blog from Bryan Cave Leighton & Paisner pulls out findings by the Examiner in the WorldCom bankruptcy and explains why they’re still relevant today. [read post]
14 Jul 2022, 4:24 pm
Because we’re lawyers, we have to make this disclaimer: We don’t endorse the contents of these books. [read post]
6 Jul 2022, 6:21 am
Sarbanes-Oxley After major financial scandals, including the fall of Enron in 2001, Tyco International, and WorldCom, Congress passed the Sarbanes-Oxley Act of 2002 (SOX). [read post]
28 Apr 2022, 4:17 pm
On another occasion product was not re-called from the market even after management became aware of a nonconformity (“NC”). [read post]
19 Apr 2022, 4:14 pm
In re Vantive Corp. [read post]
12 Apr 2022, 9:01 pm
Further, placing disclosures in filings also benefits investors because there are more controls around those disclosures, with a framework required from Section 302 of the Sarbanes-Oxley Act of 2002. [read post]
11 Mar 2022, 6:49 am
Alexandra Ocasio-Cortez, and having written on social media, “We’re going to get ahold of [the officer who shot Ashli Babbitt] and hug his neck with a nice rope. [read post]
17 Dec 2021, 1:27 pm
Devine also thanked Balan for talking about her experiences and delved into the provisions in the Sarbanes-Oxley Act and its relevance to non-disclosure agreements. [read post]
11 Nov 2021, 9:03 pm
WHAT WE’RE READING THIS WEEK In a working paper, Mason Marks, professor at University of New Hampshire Franklin Pierce School of Law, and I. [read post]
15 Oct 2021, 6:19 am
I support today’s [Oct. 14, 2021] action to re-open comment on the Dodd-Frank Act rule regarding clawbacks of erroneously awarded incentive-based compensation. [read post]
11 Oct 2021, 7:32 am
While those were pending, he later filed a claim for retaliation with the Department of Labor for compensation under Sarbanes-Oxley, which was outside of the 180-day window of his discovery of the retaliation. [read post]
7 Oct 2021, 9:07 am
You may be wondering if you would be subject to retaliation, or perhaps you’re thinking about the upside—the minimum award you could win. [read post]
2 Sep 2021, 6:28 am
Introduction In the fifteen years since the passage of the Sarbanes-Oxley (SOX) Act in the U.S., several institutional and regulatory changes have helped reshape boards of directors. [read post]
25 Mar 2021, 3:03 am
The law amends the Sarbanes-Oxley Act to prohibit listing on US exchanges of foreign companies for which the PCAOB has been unable to inspect audit work papers and is primarily aimed Chinese companies listed in the US. [read post]
20 Jan 2021, 9:50 am
Enacted in 2010, the Act completely overhauled financial regulatory practices in all aspects of the economy and sought to re-regulate the financial sector following decades of deregulation. [read post]
20 Jan 2021, 9:50 am
Enacted in 2010, the Act completely overhauled financial regulatory practices in all aspects of the economy and sought to re-regulate the financial sector following decades of deregulation. [read post]
21 Dec 2020, 3:00 am
Cheat Sheet: 2020 Capital Markets Rulemaking If you’re like me, you’re probably having a little trouble keeping up with the avalanche of rulemaking from the SEC over the past several months. [read post]
22 Sep 2020, 7:24 am
In the 2014 case of Halliburton II, the Supreme Court re-affirmed the Basic v. [read post]
17 Sep 2020, 5:57 pm
And the question of whether or not you're going to impute that to the corporation and take down the corporation as well as largely a discretionary call by prosecutors. [read post]
4 Sep 2020, 6:27 pm
Goelzer added that, even if a firm is deregistered, you’re just left with issuers that have an unregistered auditor.While proposals like those made by the PWG and S. 945 may be painful solutions which would result in investors paying a financial price, as well as the U.S. financial markets since Chinese companies will start raising capital outside the U.S., it is not feasible to have a regulatory requirement and not do anything to enforce compliance, Goelzer said.Shaswat K. [read post]
