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29 Jul 2016, 3:39 am
Shas recently joined Hunton from the PCAOB, most recently serving as an Associate Director in the PCAOB’s Office of International Affairs, where he negotiated bilateral agreements providing for cross-border inspections with Germany, Denmark, Greece. [read post]
3 Mar 2017, 6:16 am
Audeh & Corey Brown, Foley Hoag LLP, on Thursday, March 2, 2017 Tags: Accounting, Acquisition agreements, Confidentiality, Cross-border transactions, Disclosure, FCPA, Financial reporting, International governance, Mergers & acquisitions, Reporting regulation, Sarbanes–Oxley Act, SEC, Securities regulation The Bylaw Puzzle in Delaware Corporate Law Posted by David A. [read post]
26 Jun 2011, 11:42 pm
Note: Under Section 406, a senior financial officer is the "principal executive officer, principal financial officer, principal accounting officer or controller, or persons performing similar functions. [read post]
20 Jan 2010, 2:13 am
If it weren't for the efforts of the FBI, SEC, Postal Inspector's Office, US Attorney's Office, and class action plaintiff's lawyers who investigated, prosecuted, and sued me, I would still be the criminal CFO of Crazy Eddie today. [read post]
7 Apr 2010, 10:22 am
This provides the GC with further incentives to uphold its roleas the chief legal officer, but implementing stock options as a pay-out mechanism may bring into question the GC’s compliance impartiality, because of the possible personal incentive in allowing other company officers to “manipulate financial results and to maximize their option payouts. [read post]
25 Sep 2009, 7:14 am
Their work is subject to review by the PCAOB through regular inspections and through PCAOB investigations and enforcement proceedings.Importantly, the Sarbanes-Oxley Act requires audit committees to be directly responsible for the appointment, compensation, and oversight of the work of the independent auditor. [read post]
20 Mar 2009, 1:00 pm
But the rest of us may be forgiven for wondering what the compliance officers, and the risk officers, and the ethics officers were doing at the financial services firms when their colleagues were placing those dangerous wagers. [read post]
20 Nov 2006, 6:13 am
In Australia, AXS-One Pty Ltd is the regional head office for operations throughout the Asian region including offices and representatives in Singapore, Hong Kong, Malaysia, Taiwan and India. [read post]
19 May 2008, 9:00 pm
In an organization several bodies and officers deal with compliance issues, not just the compliance officer. [read post]
16 Apr 2024, 1:34 pm
§ 1512(c)(2), enacted as part of the Sarbanes-Oxley Act in the wake of the Enron scandal. [read post]
5 Feb 2015, 3:45 pm
– 180 days to file Sarbanes-Oxley Act (SOX). [18 U.S.C. [read post]
10 Nov 2006, 1:29 pm
Sarbanes-Oxley). [read post]
5 Feb 2015, 3:45 pm
– 180 days to file Sarbanes-Oxley Act (SOX). [18 U.S.C. [read post]
8 Jan 2012, 7:59 pm
These retaliatory actions, he claimed, constituted a violation of the Sarbanes Oxley Act which made it a crime to intend to retaliate and “take any action harmful to any person” for “providing to a law enforcement officer any truthful information relating to the commission or possible commission of any Federal offense. [read post]
8 Jun 2009, 1:00 pm
Self-Assessments: Criteria and Procedures for Evaluating GRC Programs with Gracie Fisher Renbarger, Chief Ethics and Compliance Officer of Dell; Nan Stout, Vice President Business Ethics of Staples; and Carole Stern Switzer, President of OCEG Richard Ketchum Keynote from the Compliance Week Conference It's Not Fraud, But it Can't be Ignored The SEC's Radical Disclosure Overhaul with Dr. [read post]
5 Jun 2014, 11:54 am
Plaintiff Webb-Weber was the chief operating officer of defendant Community Action for Human Services, Inc. [read post]
4 Jun 2010, 4:07 am
The SEC used the clawback provision under Section 304 of Sarbanes-Oxley to get the former CEO to agree to reimburse the company $470,016 in cash bonuses, 30,000 shares of Diebold stock and stock options for 85,000 shares of Diebold stock. [read post]
23 Nov 2010, 7:56 am
Allison that since he became an executive officer of the Company, maintaining that loan is prohibited under Section 402 of Sarbanes Oxley Act of 2002. [read post]
17 Aug 2011, 7:55 pm
Based upon the findings of an audit of OSHA’s whistleblower program performed by the Government Accountability Office in 2009 and 2010, as well as an OSHA internal review, significant changes were made to the Whistleblower Protection Program including restructuring, training, program policy, and internal systems. [read post]
30 Apr 2009, 10:22 am
The Sarbanes-Oxley Act of 2002, which protects those who report fraud and other violations of securities laws 6. [read post]
