Search for: "Officer Oxley"
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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]
24 Jan 2012, 8:47 am
They also found the retaliation was a violation of the Sarbanes Oxley employee protection guarantees. [read post]
28 Sep 2010, 1:11 pm
Creation of a legislative budget office. [read post]
23 Nov 2011, 2:43 am
The firm has offices in Miami, Ft.Lauderdale, and Boca Raton, Florida. [read post]
22 Nov 2017, 6:27 am
Moreover, loan officer training should include the proper use of rate sheets. [read post]
28 Jun 2010, 12:25 pm
The Sarbanes-Oxley Act remains “‘fully operative as a law’” with these tenure restrictions excised. [read post]
23 Sep 2010, 9:58 am
Commissioned military officers “are ‘inferior officers. [read post]
8 Jun 2010, 7:00 am
I attended a talk recently called “Obama Plus One” – an analysis of the employment law changes occurring since the new administration took office. [read post]
29 Dec 2023, 6:17 am
A Closer Look At Smokeball, with Chief Revenue Officer Jane Oxley and President Ruchie Chadha. 9. [read post]
18 Apr 2024, 9:05 pm
In a new paper, we seek to address these questions by examining the impact of Section 406 of the Sarbanes-Oxley Act (SOX), which mandates that all publicly listed companies in the U.S. adopt a code of ethics for their senior financial officers. [read post]
1 Nov 2010, 2:19 pm
The report considered the SEC's authority to recognize "generally accepted" accounting standards under Sarbanes-Oxley Act (SOX) Sections 108 and 109. [read post]
30 Dec 2011, 3:21 pm
” Congress enacted the Sarbanes-Oxley Act or SOX to address growing concerns about the reliability and accuracy of disclosures made by publically-traded corporations. [read post]
17 Feb 2011, 2:25 pm
Join the live program from your office, home, or hotel room using a computer for the web portion and telephone for the audio portion. [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]
13 Oct 2010, 8:46 am
FINRA’s Chief Executive Officer Richard Ketchum stated that the option “would enhance confidence in and increase the perception of fairness in the FINRA arbitration process. [read post]
22 Feb 2018, 7:30 am
Raining on somebody’s parade Somers and the U.S. solicitor general’s office had marched a parade of horribles on stage, and the justices were spectacularly unimpressed. [read post]
18 Mar 2019, 8:35 am
Lee Martin, the Director of the IRS’ Whistleblower Office, highlighted recent enhancements in the IRS’s whistleblower program, including providing whistleblowers with information about their pending claims earlier by means of Preliminary Reward Recommendation Letters (PARLS). [read post]
2 Jul 2010, 5:29 pm
To begin this process, the PCAOB Office of Chief Auditor issued a Briefing Paper on Broker-Dealer Audit Considerations http://pcaobus.org/News/Events/Documents/07152010_SAGMeeting/Broker_Dealer.pdf) for the SAG meeting. [read post]
20 Oct 2016, 12:04 pm
The complaint, filed in Delaware Court of Chancery, alleges common law fraud, securities fraud under California’s Corporations Code, and violations of Delaware’s Consumer Fraud Act and Deceptive Trade Practices Act, among other things, against Theranos, its Chief Executive Officer, Elizabeth Holmes, and its former Chief Operating Officer, Ramesh Balwani. [read post]
15 Mar 2007, 6:45 am
Panel III:The Challenge of Cooperation: Consideration of the Ethical andManagerial Implications of the Organizational Sentencing Guidelines,Thompson Memorandum, Sarbanes-Oxley Act, etc. [read post]
