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16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
22 Feb 2016, 4:36 pm
After attending the PLUS D&O Symposium some years ago, several colleagues at Partner Re thought it might be worthwhile to provide D&O insurance professionals with historical overview of the evolution of Directors and Officers insurance (D&O) in the US marketplace. [read post]
10 Feb 2016, 4:04 am
If you have a policy on a diversity as you’re locating and nominating directors how is that implemented and how do you judge its effectiveness? [read post]
1 Feb 2016, 4:05 am
Pol'y 87 (2015)).John George Archer, This SOX: Combating Public Charity Fraud with Sarbanes-Oxley, (January 20, 2016). [read post]
18 Jan 2016, 9:00 am
If you don't tell us what you're looking at, we're never going to know what you're doing! [read post]
13 Jan 2016, 5:05 pm
John Reed Stark David Fontaine In this day and age, the members of the boards of directors of most companies understand that cybersecurity issues are both important and should be a board-level priority. [read post]
8 Jan 2016, 3:14 am
In re Vaalco Energy S’holder Litig., C.A. [read post]
10 Dec 2015, 2:00 am
July 31, 2015) — Sarbanes-Oxley whistleblower provisions. [read post]
30 Nov 2015, 4:33 am
– They’re pricey. [read post]
6 Aug 2015, 1:59 pm
, In re Paradigm Capital Management, and we certainly expect to see more such cases brought by the Commission in the near future. [read post]
5 Jul 2015, 3:28 pm
Discussion As required by the Dodd-Frank Act, these proposed rules are considerably broader than the existing executive compensation clawback requirements under the Sarbanes-Oxley Act. [read post]
3 Jul 2015, 4:03 am
The 7th case, the one the government won, was the one you're most likely to have noticed, Glossip v. [read post]
30 Apr 2015, 1:02 pm
I hope to receive a meaningful amount of high level papers.Best regards, Droits de l’homme 2.0 : quelle protection à l’ère numérique ? [read post]
7 Apr 2015, 2:13 pm
(Backer, Larry Catá, "The Sarbanes-Oxley Act: Federalizing Norms for Officer, Lawyer and Accountant Behavior. [read post]
23 Mar 2015, 5:00 am
” You’re essentially assuming your adversaries are as ethical as you. [read post]
15 Mar 2015, 2:29 pm
Work rules dictating how long work files are kept before they’re disposed help organizations manage the task of responding to information inquiries like discovery requests in litigation. [read post]
6 Mar 2015, 5:07 am
And in case you’re wondering, this case, like Yates, fell under Sarbanes–Oxley, prohibiting the destruction of evidence. [read post]
6 Mar 2015, 3:53 am
Sure, they’re the winners, after their lives were subject to massive upheaval. [read post]
3 Mar 2015, 3:36 am
Briefly: At PrawfsBlawg, Richard Re weighs in on last week’s decision in Yates v. [read post]
18 Feb 2015, 4:25 am
Also, even though the proposed rules are focused on hedging activity, I believe that companies should re-visit their pledging policies because they raise similar issues. [read post]
