Search for: "Officer Oxley"
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17 Aug 2020, 6:00 am
” Retaliation came quickly, corporate officers wanted her computer, and she was moved from the 49th floor of Enron to the sixteenth floor, which housed HR. [read post]
20 Jul 2020, 3:03 am
Here’s an excerpt: For the past 18 years, the committee structure for public company boards has been dictated by the Sarbanes-Oxley Act of 2002 and the related rules and regulations promulgated thereunder. [read post]
17 Jul 2020, 12:56 pm
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]
13 Jul 2020, 5:00 am
D., professor at Peking University’s Guanghua School of Management, expanded on the topic of oversight, explaining that the PCAOB has been blocked from doing inspections in China since its inception after the Sarbanes-Oxley Act was passed in the early 2000s. [read post]
18 Jun 2020, 3:03 am
I can distinctly recall sitting in his office, drafting some new rule, interpretation or regulatory relief, and Marty would say, with a mix of amazement and admiration, “We just made that up! [read post]
16 Jun 2020, 2:18 pm
That is the question that John Reed Stark, President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement, examines in the following guest post. [read post]
28 May 2020, 3:07 pm
Katie Arrington (Chief Information Security Officer for DOD Acquisition and Sustainment (A&S) Office) provided updated information and details about certain aspects of CMMC implementation, and the anticipated timeline and costs. [read post]
18 May 2020, 9:00 am
For example, HIPAA, Sarbanes Oxley Act, and GLBA are the relevant and applicable federal statutes. [read post]
1 May 2020, 12:14 pm
In the securities fraud case defendant, Jeffrey Wilson was indicted for criminal violations of the Sarbanes-Oxley Act and was “tried by a jury. [read post]
16 Apr 2020, 4:55 am
The SEC Office of Compliance Inspections and Examinations (“OCIE”), which conducts examinations of SEC-registered investment advisers, investment companies, broker-dealers, and others, publishes an annual list of examination priorities for the upcoming year that provides insight to managers regarding issues that will be examined and an opportunity for advisers to prepare and improve such areas before examination.OCIE’s 2020 exam priorities are as follows: Retail Investors… [read post]
19 Mar 2020, 4:00 am
This would be a parallel to the requirement in the U.S. under the Sarbanes-Oxley Act that the Chief Financial Officer must certify that the audited statements are accurate. [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]
16 Dec 2019, 3:14 pm
Ms Oxley occupied a room and shared communal space at a property that was formerly industrial offices, but had been somewhat adapted for occupation by property guardians, with lightweight partitions creating ‘rooms’. [read post]
16 Dec 2019, 7:51 am
One of the audit committee’s most important roles is to be proactive, Clayton stated.Teotia noted that the staff of the Office of the Chief Accountant (OCA) frequently speaks with audit committee members. [read post]
8 Nov 2019, 10:02 am
Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) administer whistleblower claims under the Sarbanes-Oxley Act of 2002. [read post]
24 Oct 2019, 2:40 pm
In the following guest post, John Reed Stark, President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement, takes a detailed look at the SEC’s recent actions and considers the actions’ implications. [read post]
30 Sep 2019, 12:42 pm
Publicly traded companies have had mandatory clawback requirements since the Sarbanes-Oxley Act was enacted in 2002. [read post]
16 Sep 2019, 2:30 am
Such a program could be modeled on the whistleblower offices at the SEC and the Internal Revenue Service, which are both authorized by Congress to provide monetary awards to individuals who come forward with information that leads to enforcement actions. [read post]
3 Sep 2019, 8:50 pm
Did directors and officers really know how bad things had gotten. [read post]
19 Aug 2019, 3:01 am
Cowle of the University of Arkansas, looked at 13 years of data from 885 local offices of 358 audit firms in the U.S., and found offices that reported material weaknesses in internal controls over financial reporting for one or more clients in the course of a year saw their average fee total in the following year grow by about 8 percent less than would have been the case had they issued none. [read post]
