Search for: "Officer Oxley"
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11 Jul 2023, 10:09 am
Supreme Court agreed to hear a Sarbanes-Oxley Act (SOX) whistleblower case with widespread implications for the ability of whistleblowers to seek anti-retaliation protections under federal whistleblower laws. [read post]
16 Feb 2007, 3:16 pm
In general, my office has adopted a policy of turning contraban over to the Government but refusing to answer questions about where the item has come from. [read post]
6 Sep 2023, 9:05 pm
Our ideal compliance officer might weigh, along with the rest of the corporate team, a given tool’s productivity benefits versus its misconduct risk. [read post]
19 Jul 2008, 2:30 pm
Thus, their directors and policymaking officers will have to comply with the reporting requirements of Section 16(a).Importantly, the House bill requires the enterprises to comply with a number of significant provisions of the Sarbanes-Oxley Act. [read post]
6 Mar 2014, 8:22 am
FMR argued that an “employee” must be limited to public company employees to avoid the “absurd” result of extending protection to the personal employees of company officers and employees. [read post]
14 Feb 2011, 11:34 am
Barker alleges that UBS retaliated against her following her reporting to compliance officers that UBS failed to report millions in assets to its shareholders. [read post]
16 Jan 2012, 2:55 pm
Think Enron, Sarbanes-Oxley Act, etc.. [read post]
13 Oct 2011, 5:44 pm
When he returned to the office the following week, he received no phone calls, few emails, and his coworkers generally avoided him. [read post]
28 Jun 2010, 8:47 am
In a much anticipated separation-of-powers decision, the Court today held unconstitutional a provision of the Sarbanes-Oxley Act (SOX). [read post]
15 Nov 2006, 10:00 am
[8] The Sarbanes-Oxley Act of 2002 § 302, 401, 404, 409, 802 (2002), [www.soxlaw.com]. [read post]
2 May 2012, 2:36 am
For example: an ECG’s IPO prospectus need contain only two years of audited financial statements (rather than the customary three years); ECGs are exempt from Sarbanes Oxley rules requiring that auditors attest to internal controls reporting; and ECGs need not comply with the so-called “golden parachute” and “say-on-pay” rules by which companies are required to submit executive compensation practices to advisory votes by stockholders.The foregoing… [read post]
6 Oct 2011, 11:58 am
The new Securities and Exchange Commission's Office of the Whistleblower opened on August 12, 2011. [read post]
8 Jul 2013, 1:08 pm
Our attorneys are expert on all aspects of Sarbanes-Oxley as well. [read post]
15 Sep 2015, 1:57 pm
[New York Times] * Just how far is the reach of the Sarbanes-Oxley Act? [read post]
3 Nov 2011, 11:20 am
Comments submitted by mail should be addressed to the OSHA Docket Office, Docket No. [read post]
11 Mar 2014, 8:48 am
The Court further observed “that Congress was as focused on the role of Enron’s outside contractors in facilitating the fraud as it was on the actions of Enron’s own officers. [read post]
30 Dec 2019, 6:04 am
First, there is the expansion of the board’s oversight responsibilities that resulted from the Sarbanes-Oxley and Dodd-Frank legislations. [read post]
19 Feb 2008, 3:37 am
According to the Sarbanes-Oxley Compliance Journal, the Ex-Im Bank's new "Know Your Customer" initiative - which Grits readers will recall was created after WFAA-TV reporter Byron Harris in Dallas revealed the agency had given loans to figures associated with drug cartels - will be "ensuring that Ex-Im Bank supports creditworthy and legitimate transactions. [read post]
4 Aug 2014, 4:13 am
The CFO agreed to pay a $23,000 penalty and also agreed to a five year ban from practicing as an accountant before the SEC or serving as the officer or director of a public company. [read post]
25 Dec 2008, 5:15 am
As the article notes: For all of this, we can first thank Sarbanes-Oxley. [read post]
