Search for: "Officer Oxley"
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17 Jan 2010, 10:04 am
Instrumentation Labratory Company, the Court clarified how employees may pursue retaliation claims under the Sarbanes-Oxley Act. [read post]
16 Jun 2010, 2:22 pm
Corporate counsel owes a duty of loyalty to the corporation, not its officers. [read post]
11 Nov 2015, 6:49 am
Treasury’s Office of Financial Research. [read post]
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]
18 May 2020, 9:00 am
For example, HIPAA, Sarbanes Oxley Act, and GLBA are the relevant and applicable federal statutes. [read post]
5 Feb 2010, 6:58 am
The panelists focused on comparing certain substantive differences in Canadian and American law governing securities class actions, including: (1) caps that apply to limit the liability of Canadian directors and officers in certain contexts; (2) the ability of Canadian investors to obtain discovery before substantive motions to dismiss; and, (3) the ability of plaintiffs to force defendants to produce their D&O policies at the outset of litigation.Panelists also discussed the… [read post]
2 Feb 2007, 2:13 am
The release mentioned that “The Special Committee determined that all options granted to officers of the Company were properly granted. [read post]
1 Nov 2011, 10:12 am
Gaining a better understanding of the fiduciary duties and potential liabilities of the Board of Directors and officers. [read post]
9 Nov 2011, 4:51 pm
Gail Hanson, Chief Financial Officer, Aurora Health Care, said that audit rotation is potentially disruptive by taking one audit firm out of mix in a post-Sarbanes-Oxley environment where issuers employ different firms for some non-audit- related services.John Archambault of Grant Thornton acknowledged that there are valid concerns around mandatory audit rotation. [read post]
PCAOB Standing Advisory Group Views Auditor Independence as Core to Auditing of Financial Statements
9 Nov 2011, 4:51 pm
Gail Hanson, Chief Financial Officer, Aurora Health Care, said that audit rotation is potentially disruptive by taking one audit firm out of mix in a post-Sarbanes-Oxley environment where issuers employ different firms for some non-audit- related services.John Archambault of Grant Thornton acknowledged that there are valid concerns around mandatory audit rotation. [read post]
PCAOB Standing Advisory Group Views Auditor Independence as Core to Auditing of Financial Statements
9 Nov 2011, 4:51 pm
Gail Hanson, Chief Financial Officer, Aurora Health Care, said that audit rotation is potentially disruptive by taking one audit firm out of mix in a post-Sarbanes-Oxley environment where issuers employ different firms for some non-audit- related services.John Archambault of Grant Thornton acknowledged that there are valid concerns around mandatory audit rotation. [read post]
20 Mar 2013, 3:53 am
Mike Oxley - now at BakerHostetler - was involved in procuring the Staff position. [read post]
2 Mar 2018, 6:09 am
The Supreme Court and the Scope of Whistleblowing Anti-retaliation Protections Posted by Cydney Posner, Cooley LLP, on Friday, February 23, 2018 Tags: Disclosure, Dodd-Frank Act, Exchange Act, Misconduct, Rule 21F-2, Sarbanes–Oxley Act, SEC, Securities regulation, Supreme Court, U.S. federal courts, Whistleblowers Public Company Cybersecurity Disclosures Posted by Kara M. [read post]
3 Dec 2009, 2:35 pm
 Because that firm audits publicly traded companies, it was required by Sarbanes-Oxley to register with the Board and to obey its standards. [read post]
15 Jun 2010, 3:52 pm
Indeed, the Securities & Exchange Commission’s (“SEC”) complaint did not allege that Jenkins played any role in the scheme, and the SEC filed both civil complaints and criminal indictments against other CSK officers, alleging that those officers concealed the scheme from Jenkins. [read post]
14 Sep 2011, 2:00 am
The SEC’s complaint did not allege that O’Leary participated in the misconduct, but rather pursued the action against O’Leary under Section 304 of the Sarbanes-Oxley Act of 2002. [read post]
3 Feb 2009, 6:52 am
We are fortunate to have a review of this case from Kevin Brady, a partner in the Business Law Group at the Wilmington, Delaware, office of Connolly Bove. [read post]
1 Sep 2023, 12:43 pm
Generally, the government explained, Congress can vest appointment of inferior officers in department heads and limit the removal of those inferior officers. [read post]
11 Apr 2011, 11:51 am
Department of Labor ("DOL") Administrative Review Board ("ARB") determined that protected activity under the Sarbanes-Oxley Act of 2002 ("SOX") does not require a showing of fraud against shareholders. [read post]
9 May 2011, 1:40 am
The four other categories of disclosures protected under the Dodd Frank anti-retaliation provisions are disclosures: under the Sarbanes Oxley Act; under the Securities Act of 1934; under federal statutory provisions relating to investigative officers; or disclosures under any other law, rule or regulation of the Commission. [read post]
