Search for: "Officer Oxley"
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27 Mar 2012, 5:00 am
SOX’s whistleblower protection provision states that no public company or “officer, employee, contractor, subcontractor, or agent…of such company” may “discriminate against an employee” for engaging in a protected activity. [read post]
21 Mar 2012, 5:55 pm
Like other public companies. emerging growth companies must comply with Regulation FD’s prohibition on selective disclosure of material nonpublic information.On ramp companies must still comply with Section 404(a) of Sarbanes-Oxley and,thus, Certifying officers are responsible for establishing, designing and maintaining effective internal controls, must annually assess and report on the effectiveness of the internal controls, and must disclose any change in the… [read post]
17 Mar 2012, 10:00 pm
This significance was recognized as far back as 2002 by the US Congress in the passage of the Sarbanes-Oxley Act (SOX), which required, among other things, that companies must incorporate systematic programs for protecting and monitoring IP assets as a part of an overall SOX compliance program. [read post]
14 Mar 2012, 1:45 pm
There is actually an Office of Whistleblower Protection Program. [read post]
13 Mar 2012, 1:02 pm
While the New York State Attorney General’s Office has its own Bureau of Investor Protection, this office routinely declines to investigate the complaints of private placement investors who feel that they have been duped. [read post]
13 Mar 2012, 1:02 pm
While the New York State Attorney General’s Office has its own Bureau of Investor Protection, this office routinely declines to investigate the complaints of private placement investors who feel that they have been duped. [read post]
13 Mar 2012, 10:34 am
BNA's very useful Corporate Counsel Weekly (sub req'd) reports that: Democratic lawmakers March 9 called on the Securities and Exchange Commission to “prioritize” rulemaking for a statutory mandate that would require companies to disclose a ratio comparing the compensation for their chief executive officers with that of employees. [read post]
12 Mar 2012, 1:44 pm
As is the case currently for smaller reporting companies and non-accelerated filers, emerging growth companies would be required to maintain adequate internal control over financial reporting and report the assessment of their principal executive officer and principal financial officer as to the effectiveness of such internal control. [read post]
11 Mar 2012, 1:00 am
" Indispensable Counsel: The Chief Legal Officer in the New Reality (Oxford University Press), by E. [read post]
9 Mar 2012, 9:17 am
Di Guglielmo have written a field manual to aid CLOs with their new tasks [occasioned by Sarbanes-Oxley and Dodd-frank]. [read post]
8 Mar 2012, 10:20 am
In order to ensure that investors are adequately protected, the management of an emerging growth company 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]
7 Mar 2012, 9:12 am
Sarbanes Oxley reporting obligations or other foreign statutes are not regarded as permission statutes in the light of the BDSG, but respective whistleblowing duties may be taken into account when applying German data privacy rules. [read post]
7 Mar 2012, 9:12 am
Sarbanes Oxley reporting obligations or other foreign statutes are not regarded as permission statutes in the light of the BDSG, but respective whistleblowing duties may be taken into account when applying German data privacy rules. [read post]
7 Mar 2012, 6:20 am
A pair of Government Accountability Office audits in 2009 and 2010 had identified substantial problems with the WPP. [read post]
7 Mar 2012, 3:20 am
A pair of Government Accountability Office audits in 2009 and 2010 had identified substantial problems with the WPP. [read post]
6 Mar 2012, 1:28 pm
At issue was statutory language providing that no “publicly traded companies … or any officer, employee, contractor, subcontractor or agent of such company” may retaliate “against an employee. [read post]
JURIES: Yesterday’s post on jury duty produced this email from Magistrate Judge Bruce Guyton in Kno…
3 Mar 2012, 4:00 am
And reader Brian Oxley writes: I was recently on a state felony trial here in Harris Co. [read post]
28 Feb 2012, 5:00 am
Sarbanes Oxley took some tentative steps in this direction by requiring boards to have in place a mechanism that allowed employees to report directly any problems and concerns. [read post]
26 Feb 2012, 9:00 pm
” Particularly in the post Sarbanes-Oxley world, a company’s CCO is a “linchpin in organizational efforts to comply with applicable law. [read post]
24 Feb 2012, 7:00 am
Perhaps as a result of that, or maybe as a result of Sarbanes-Oxley or other reasons, accounting fraud cases just have not been brought in the numbers they were in years past. [read post]
