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22 May 2012, 11:02 am
” The Ninth Circuit’s decision in Jasper is also significant because it upheld the trial court judge’s authority to order reimbursement under the Sarbanes-Oxley Act. [read post]
16 May 2012, 5:00 am
(I would argue that it undercuts Sarbanes-Oxley, not Dodd-Frank.) [read post]
16 May 2012, 5:00 am
(I would argue that it undercuts Sarbanes-Oxley, not Dodd-Frank.) [read post]
10 May 2012, 10:47 am
Longtop's principal offices are located in China, where D&T Shanghai served as its auditors until the accounting firm resigned in May 2011 after, according to the SEC, "discovering numerous financial improprieties" at Longtop. [read post]
10 May 2012, 1:05 am
D&O insurance is not there to make claimants or their attorneys happy nor is it intended to be a reserve pool on which claimants or their attorneys’ get to draw; it is there to protect the company’s directors and officers. [read post]
7 May 2012, 10:53 am
A more creative way of crafting this might be: Sarbanes-Oxley regulations will cost American corporations more than $55 billion, and that’s only if they follow the rules. [read post]
2 May 2012, 2:36 am
For example: an ECG’s IPO prospectus need contain only two years of audited financial statements (rather than the customary three years); ECGs are exempt from Sarbanes Oxley rules requiring that auditors attest to internal controls reporting; and ECGs need not comply with the so-called “golden parachute” and “say-on-pay” rules by which companies are required to submit executive compensation practices to advisory votes by stockholders.The foregoing… [read post]
24 Apr 2012, 6:49 am
§ 1519, which was added by the Sarbanes-Oxley Act. [read post]
24 Apr 2012, 6:49 am
§ 1519, which was added by the Sarbanes-Oxley Act. [read post]
23 Apr 2012, 12:06 pm
The Rich Getting Richer… About a week ago, a study showed that 93 percent of the gains since President Obama took office went to the top one percent. [read post]
18 Apr 2012, 4:11 am
The two former officers had not been personally charged in connection with fraudulent financial statements; two other former officers were charged for that last year. [read post]
13 Apr 2012, 11:49 am
Attorney's Office materials relating to 44 witnesses (who were interviewed by the SEC and prosecutors jointly during the investigations of Mr. [read post]
10 Apr 2012, 3:01 pm
Such intermediaries will need to provide detailed disclosures to investors and make sure potential investors confirm that they are willing to risk losing their entire investment.The company seeking funding will need to disclose its financial condition including: a) If the target offering amount is $100,000 or less, then the most recent year's income tax returns (if any); as well as financial statements of the issuer certified by the principal executive officer of the issuer… [read post]
9 Apr 2012, 1:09 am
In reliance on Section 304 of the Sarbanes Oxley Act, the complaint also seeks to “clawback” bonus compensation that Nocella and McCann received. [read post]
7 Apr 2012, 9:59 am
Any firm that goes public already has up to two years after its IPO to comply with certain Sarbanes-Oxley auditing requirements. [read post]
6 Apr 2012, 9:48 am
The complaint seeks financial penalties, officer and director bars, and permanent injunctive relief against the individuals from future violations of the federal securities laws. [read post]
5 Apr 2012, 6:26 pm
Compliance with the auditor attestation requirement of Section 404(b) of the Sarbanes-Oxley Act is not required for the period that a company remains an EGC. [read post]
5 Apr 2012, 12:34 pm
To ensure that investors are adequately protected, an emerging growth company’s management would still be required to establish and maintain internal controls over financial reporting, as mandated by Section 404(a) of the Sarbanes-Oxley Act, and its chief executive officer and chief financial officer would still have to certify the company's financial statements. [read post]
5 Apr 2012, 9:16 am
Jenkins, the former chief executive officer of CSK Auto Corporation received, as discussed here. [read post]
3 Apr 2012, 1:03 am
In these provisions, the Act unwinds many of the requirements Congress only recently added through the Sarbanes-Oxley Act and in the Dodd-Frank Act. [read post]
