Search for: "Officer Oxley"
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2 Apr 2008, 12:00 am
Unlike Enron, no corporate officer or board of directors' member of Wayne-Dalton has been alleged, much less shown, to have committed a criminal offense. [read post]
6 Aug 2012, 10:32 am
Specifically, he asked if Treasury staff from the Office of Tax Policy and IRS staff from the Office of Chief Counsel responsible for writing the whistleblower regulations have met with the SEC to discuss the regulations, including those related to planners and initiators. [read post]
5 Nov 2008, 6:07 pm
Bloch was so appalling that the FBI raided his home and office. [read post]
1 Sep 2010, 5:00 am
To the extent the Enron-type scandals were caused by poor gatekeeping and auditor conflicts-of-interest, the Sarbanes-Oxley Act arguably has reduced some of these issues. [read post]
29 Dec 2008, 6:55 am
The court followed other circuits in holding that Sarbanes Oxley was not intended by Congress to alter the pleading requirements of the PSLRA in this manner. [read post]
30 Jun 2008, 12:15 pm
Back in the early days of Sarbanes Oxley (SOX), the knives were out. [read post]
18 Feb 2015, 4:25 am
Instead, I believe we should consider different policy decisions on how we view hedging with regard to (i) outstanding equity awards v. shares owned outright and (ii) rank-and-file employees v. directors and officers. [read post]
14 Dec 2011, 4:47 pm
Sarbanes-Oxley mandated that companies have an internal mechanism to report criminal activity, such as an anonymous tip-line. [read post]
2 Aug 2012, 12:33 pm
A 2011 report and recommendation from the Government Accountability Office found widespread support for anti-retaliatory protection in criminal antitrust cases, according to the bill’s sponsors. [read post]
21 Mar 2009, 4:52 am
Letters to the SEC commenting on the proposed rules were publicly available on the SEC website or through its public reference office. [read post]
18 Mar 2007, 5:30 am
Sarbanes-Oxley delivered. [read post]
19 Jul 2010, 2:54 pm
These scandals ultimately led to the adoption in 2002 of the Sarbanes-Oxley Act and that is when the new era of corporate governance has begun. [read post]
5 Jan 2012, 1:53 pm
As reported by Richard Renner, in an article entitled “Major Victory for Whistleblowers in Seventh Circuit Says Retaliation is a RICO Violation”, in the Whistleblowers Protection Blog, the Court of Appeals found valid a claim for damages under the Racketeer Influenced and Corrupt Organizations Act (RICO) for the retaliation against a whistleblower who provides information about corporate fraud to law enforcement officers under Sarbanes-Oxley Act (SOX). [read post]
9 Apr 2024, 7:16 am
More than 300 other Jan. 6 defendants have been charged with violating the law, which was enacted as part of the Sarbanes-Oxley Act in the wake of the Enron scandal. [read post]
2 Nov 2010, 1:59 am
This might arise, for example, if the whistleblower is also an officer of the company. [read post]
3 Jan 2023, 1:47 pm
The directors’ and officers’ liability environment is always changing, but 2022 was a particularly eventful year, with important consequences for the D&O insurance marketplace. [read post]
24 Oct 2013, 12:42 am
Meng-Lin Liu, a Taiwanese national, served as Group Compliance Officer for Siemens A.G. [read post]
18 Aug 2023, 4:56 am
Chamber of Commerce argue that the Sarbanes-Oxley whistleblower statute requires the plaintiff to prove the employer’s retaliatory intent. [read post]
6 May 2016, 3:50 pm
Jim McDermott (D-Wash) would bring the Sarbanes-Oxley Act into the world of modern technology by explicitly making cybersecurity a part of internal controls reporting. [read post]
24 Jun 2013, 5:50 pm
Section 953(b) requires public companies to calculate and disclose, in every filing with the SEC, (i) the median annual total compensation of all of its employees other than its chief executive officer, (ii) its chief executive officer’s annual total compensation, and (iii) the ratio of those two numbers. [read post]
