Search for: "Officer Oxley"
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14 Mar 2011, 6:58 am
Over the past decade, due largely to Sarbanes-Oxley and now Dodd-Frank, corporate America has paid an increasing amount of attention to corporate whistleblowers. [read post]
31 Jan 2023, 1:10 pm
Chairman Gensler has his own playlist of “Office Hours” in which he discusses relevant topics such as “short selling,” celebrity endorsements of investments, cybersecurity in investing, Sarbanes-Oxley, and other investment relevant topics. [read post]
26 Apr 2018, 12:00 am
Plaintiff then noted Defendants’ Sarbanes-Oxley certifications indicated they were knowledgeable about the gross margins of the sales and lease systems. [read post]
3 Dec 2018, 5:00 am
In June, the Supreme Court agreed with Lucia that SEC ALJs are inferior officers of the United States and, thus, must be appointed in conformance with the Appointments Clause of the U.S. [read post]
24 Jun 2016, 7:35 am
Shipchandler, Regional Director of the SEC's Fort Worth Regional office. [read post]
12 May 2017, 6:49 am
IPO market.Chris Coper, global chief financial officer of Sequoia Capital, said that CEOs tell him regulation, including the oft-blamed Sarbanes-Oxley Act (SOX), is not a hurdle to going public. [read post]
28 Apr 2014, 3:00 pm
" The Federal Public Defender's Office for the Middle District represents Yates. [read post]
2 Dec 2015, 5:59 am
Cuomo announced that New York is proposing a new anti-terrorism and anti-money laundering regulation that includes a requirement modeled on Sarbanes-Oxley that the chief compliance officer certify that their institutions has sufficient systems in place to detect, weed out, and prevent illicit transactions. [read post]
15 Jul 2011, 6:27 am
We already have at least 109 Offices of Inspector General across the Government – 109! [read post]
13 Jan 2022, 2:11 pm
Others may only apply to whistleblowers under Sarbanes-Oxley, which will not provide protection for Dodd-Frank or other types of whistleblower claims. [read post]
5 Apr 2010, 6:57 pm
He has given dozens of lectures on the Sarbanes-Oxley Act to law schools, bar associations, and learned societies, such as the American Academy of Arts and Sciences. [read post]
2 Mar 2023, 6:00 am
“Consumer behavior has changed across the entire services landscape in recent years and the way consumers of legal services buy is no exception,” said Jane Oxley, chief revenue officer at Smokeball. [read post]
17 Jan 2019, 9:15 am
An older law, the 2002 Sarbanes-Oxley Act, provides certain protections but also nets significantly less money than those pursuing whistleblowing under Dodd-Frank. [read post]
20 May 2009, 8:47 am
"We believe that stronger investor oversight is critically needed to restore trust and confidence in the integrity of the U.S. capital markets," Joe Dear, CalPERS' chief investment officer, said in a letter to Schumer. [read post]
31 Jul 2014, 1:41 pm
., a Florida-based computer equipment company, with violation of the antifraud and other provisions of the Securities Exchange Act of 1934 and the Sarbanes-Oxley Act of 2002. [read post]
10 May 2011, 5:29 pm
However, there are narrow exceptions to the SEC reporting condition for disclosures protected by Section 806 of Sarbanes-Oxley, for disclosures that are required or protected under any other law, rule, or regulation subject to SEC jurisdiction, and a federal criminal code provision prohibiting interference with the lawful employment or livelihood of any person who provides truthful information to a law enforcement officer relating to the commission of federal offenses.In this case,… [read post]
24 Apr 2016, 6:44 am
Under Sarbanes-Oxley, attorneys are not required to make reports to the SEC and may be precluded from doing so because of ethical obligations to their clients. [read post]
20 Feb 2009, 2:51 pm
In this article for American Lawyer, Zach Lowe, opines that "the federal Sarbanes-Oxley Act likely made his decision much easier than it otherwise might have been. [read post]
20 Apr 2010, 8:52 am
FDI’s criticism was summed up in a press release: Expert’s letter sites possible stock-touting of Medifast (NYSE:MED) stock by company’s single-officed, New Jersey based, outside auditors through their alleged independent investment entity. [read post]
5 Oct 2009, 4:17 am
It's worth noting that Sarbanes-Oxley - adopted back in '02 - still hasn't been fully implemented even though we're up to our eyeballs in a new sea of regulatory reform. [read post]
