Search for: "Officer Oxley"
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13 Apr 2016, 3:16 am
Keith talked about how Corp Fin has raised its materiality threshold in issuing comments – and how the Office of Disclosure Standards has assisted the Division in being more consistent about the type of comments issued. [read post]
19 Jan 2022, 8:51 am
Alexandria Ocasio-Cortez and the Capitol Police officer who shot rioter Ashli Babbitt.) [read post]
29 Aug 2007, 5:28 am
(citation omitted), and so considered were insufficient against one officer sold only 4% of his shares and the other officer, id., but were adequate to “contribute to an inference of scienter” as to the other officer , id., at *6; and (4) that the Sarbanes-Oxley certifications signed by the officers, see 15 U.S.C. [read post]
5 Apr 2016, 6:55 pm
Its roots are in the public policy and governance best practices arising from the Sarbanes-Oxley era. [read post]
6 Sep 2012, 1:53 am
Every fall since I first started writing this blog, I have assembled a list of the current hot topics in the world of directors’ and officers’ liability. [read post]
23 Feb 2010, 6:16 am
Editor’s Note: John Olson is a founding partner of Gibson, Dunn & Crutcher’s Washington, D.C. office and a visiting professor at the Georgetown Law Center. [read post]
16 Apr 2024, 5:29 am
” 17 CFR §240.10D-1(b)(1)(iii).Rule 10D-1 builds on section 304 of the Sarbanes-Oxley Act, 15 U.S. [read post]
17 Nov 2012, 9:00 pm
Company Personnel are required to report such information to the Company Compliance Officer or his or her designee, or to the hotline described below. [read post]
21 Sep 2010, 5:00 am
Here is what the SEC wants to address in the next three months: October – December 2010 (planned) Diversity §342: Establish new Office of Women and Minority Inclusion Oversight of Investment Advisers §§404 and 406: Propose (jointly with the CFTC for dual-registered investment advisers) rules to implement reporting obligations on investment advisers related to the assessment of systemic risk §§407 and 408: Propose rules implementing the exemptions from… [read post]
27 Oct 2010, 12:13 pm
Accordingly, the acts committed by officers are imputed to the corporation. [read post]
21 Jun 2023, 8:15 am
As former President William Howard Taft explained in 1915: The Executive office of the President is not a recording office. [read post]
23 Jun 2015, 8:49 am
In 2002 the Sarbanes-Oxley Act put the spotlight on board oversight of financial reporting. [read post]
29 Jul 2015, 4:56 am
Ali said he was transferred to the job of “assistant to the deputy commissioner,” instructed to clear out his office, moved to what he called a “mop closet” behind the cab booking stand on the terminal baggage level at Hopkins and given “make-work” assignments such as counting trashcans. [read post]
6 Apr 2018, 6:29 am
” Pitt was also “the brainstorm” behind the Sarbanes-Oxley requirement for management and auditor attestation, Cutler said. [read post]
28 Dec 2012, 5:30 am
We also saw a national election where voters said no to putting a so-called "job-creator" in office, despite bullying tactics by his CEO friends who threatened their employees if they reelected the President. [read post]
5 Jul 2023, 12:24 pm
Appendix D explores the effect of the Sarbanes-Oxley Act of 2002 on common law fiduciary duties. [read post]
13 May 2019, 8:00 am
Hahn also raised concerns about compliance with the auditor attestation requirement of Section 402(b) under Sarbanes-Oxley. [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 Mar 2011, 1:22 pm
In the asset management area, the Division must increase its understanding of issues related to valuation of illiquid portfolios.Regarding Corporation Finance, Director Cross said that the Sarbanes-Oxley Act mandate that the Division review the financial statements of all reporting companies at least once every three years. [read post]
27 Dec 2010, 9:24 am
The Sarbanes Oxley Act also makes it a criminal offense for a corporate officer to certify or fail to certify a corporate report. [read post]
