Search for: "Officer Oxley"
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4 Nov 2014, 6:31 pm
In 2007, he was fishing off the coast of Florida when state fish and wildlife officers – helping to enforce federal rules – boarded his boat. [read post]
10 Aug 2010, 12:46 pm
The National Business Institute lists the top five benefits of attending as: Gain strategies for safeguarding directors, officers and executives from potential liability. [read post]
30 Mar 2010, 5:00 am
Of course, that focus has been largely drive by the requirements of Sarbanes-Oxley. [read post]
20 Sep 2006, 7:09 pm
The FT's recommendation is to reciprocate under the EU audit directive, by requiring EU inspection of U.S. audit offices. [read post]
6 May 2011, 6:52 am
They point particularly to Sarbanes-Oxley. [read post]
18 Dec 2007, 3:02 pm
Government was a public company subject to Sarbanes-Oxley rules. [read post]
19 Mar 2015, 3:40 am
This is the first whistleblower award to an officer. [read post]
22 Jul 2022, 5:07 am
The SEC Historical Society panelists noted some of the lasting results of the Sarbanes-Oxley Act. [read post]
28 Jun 2010, 9:31 am
(John Elwood) I have long thought that if the Court invalidated any provision of Sarbanes-Oxley in Free Enterprise Fund v. [read post]
2 Sep 2011, 8:26 am
O'Leary, this misconduct was "orchestrated by Beazer's Senior Vice President and Chief Accounting Officer Michael T. [read post]
4 Dec 2011, 4:03 pm
He said US Attorney's Office in Los Angeles interviewed a number of people. [read post]
7 Mar 2014, 6:47 am
FMR LLC, resolving a dispute over the scope of the whistleblower provision of the Sarbanes-Oxley Act, 15 U.S.C. [read post]
28 Feb 2012, 5:00 am
Sarbanes Oxley took some tentative steps in this direction by requiring boards to have in place a mechanism that allowed employees to report directly any problems and concerns. [read post]
7 Jun 2009, 9:04 am
Corporate Community Asks SEC for One-Year Extension for Small Companies to Comply with Sarbanes-Oxley 404 Internal Control Auditor AttestationIn a letter to SEC Chair Mary Schapiro, the Chamber of Commerce Center for Capital Markets Competitiveness urged the Commission to grant an additional one year extension for non-accelerated filers to comply with the auditor attestation provisions of Section 404 (b) of the Sarbanes-Oxley Act. [read post]
10 Mar 2011, 11:35 am
Management then denied Brown an office, responsibilities, and any leadership position. [read post]
21 Jul 2011, 2:02 pm
The suit alleged violations of Section 304 of the Sarbanes-Oxley Act of 2002. [read post]
23 Jun 2008, 11:30 am
SEC Approves One-Year Delay for Smaller Companies' Auditor Attestations As proposed back in February, the SEC has approved another one-year extension of the compliance date for smaller companies to meet the Section 404(b) auditor attestation requirement of Sarbanes-Oxley. [read post]
29 Feb 2016, 6:01 am
Pinedo is a partner in the New York office of Morrison & Foerster LLP. [read post]
26 Sep 2007, 5:57 am
In addition, the roundtable is also expected to review how the SEC's Fair Funds program, granted under Sarbanes Oxley, can be coordinated with settlements from private lawsuits.The announcement follows mounting concerns voiced by the White House, business groups and the legal academic community over the perceived loss of competitiveness suffered by U.S. financial markets as a result of increased private securities lawsuits. [read post]
12 Nov 2013, 7:00 am
The SEC’s Office of the General Counsel now is receiving referrals about potential attorney misconduct from the Enforcement Division on a regular basis. [read post]
