Search for: "Officer Oxley"
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10 Aug 2009, 7:02 am
The SEC claims that under the "clawback" provisions in Section 304 of the Sarbanes-Oxley Act of 2002 ("SOX"), Mr. [read post]
22 Jan 2009, 10:56 am
In Embattled CEOs, Edward Rock and I argue that chief executive officers of publicly-held corporations in the United States are losing power to their boards of directors and to their shareholders. [read post]
28 Aug 2023, 10:01 am
The SEC Office of Investor Education and Advocacy issued an investor bulletin warning crypto investors about the dangers of trusting audits that don’t follow SEC rules and Public Company Accounting Oversight Board standards. [read post]
5 Oct 2007, 4:51 am
These FAQs were originally jointed issued by Corp Fin and the Office of Chief Accountant in late '04. [read post]
5 Jun 2007, 11:59 pm
These include Sarbanes Oxley in the US and the impending Markets in Financial Instruments Directive (Mifid) in Europe. [read post]
17 Feb 2007, 9:33 pm
The derivative suit involves Mercury’s two former chief financial officers, its former general counsel and its former chief operating officer. [read post]
30 Oct 2022, 6:32 am
Through this action, Congress built upon the earlier requirements they passed as part of the Sarbanes-Oxley Act in 2002, which requires chief executive officers and chief financial officers who commit misconduct in connection with their companies’ financials to return incentive-based pay from the previous 12 months. [read post]
19 Sep 2006, 11:55 am
For example, Philip Boeckman, of Cravath, Swaine & Moore's London office, noted the rise of deeper and more liquid markets outside the US, which means that a US listing is no longer needed for a successful distribution. [read post]
2 Dec 2013, 7:00 am
These restatements have declined in recent years through the quality controls instituted by the Sarbanes-Oxley Act of 2002. [read post]
7 Jul 2011, 2:31 pm
” Makes sense for a court that hears so many takeover battles and securities suits claiming officers and directors of companies have breached their shareholder responsibilities in some form or fashion. [read post]
6 Apr 2015, 7:34 am
International leaders such as compliance officers from Google Latin America, Dell Latin America, and GE Latin America are also on the board. [read post]
29 Jun 2018, 10:20 am
Office of Special Counsel, Congress, and other agencies to address the allegations appropriately. [read post]
21 May 2010, 4:38 am
for an exemption that is consistent with the SEC‘s previous exemptive policy and that takes into account the range of organizational and employment structures employed by family offices. [read post]
1 Jul 2015, 11:56 pm
Executive officers would be credited for any amount they reimburse an issuer pursuant to Section 304 of the Sarbanes-Oxley Act of 2002 for the same compensation that would also be subject to the issuer’s clawback policy. [read post]
1 Jul 2015, 11:56 pm
Executive officers would be credited for any amount they reimburse an issuer pursuant to Section 304 of the Sarbanes-Oxley Act of 2002 for the same compensation that would also be subject to the issuer’s clawback policy. [read post]
12 Sep 2008, 9:19 am
Of particular note was the court's holding on allegations that the officers must have known that their Sarbanes-Oxley certifications concerning the effectiveness of the company's internal controls were false, in light of the subsequent revelations of accounting errors and control deficiencies. [read post]
12 Jan 2009, 8:46 pm
The fact that the Sarbanes-Oxley Act limited the SEC's authority by providing that Board members can only removed for cause did not elevate Board members to the status of principal officers of the US worthy of presidential appointment. [read post]
19 Mar 2010, 8:31 am
George Fort has won over $2 million in damages and an order of reinstatement to his position as Chief Financial Officer (CFO) of Tennessee Commerce Bank. [read post]
13 Mar 2009, 11:56 am
The fact that the Sarbanes-Oxley Act limited the SEC's authority by providing that Board members can only removed for cause did not elevate Board members to the status of principal officers of the US worthy of presidential appointment. [read post]
9 Mar 2009, 5:00 am
This regulation was promulgated under Section 307 of Sarbanes Oxley Act of 2002. [read post]
