Search for: "JOHN SARBANES"
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23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
28 Oct 2022, 8:43 am
By John Filar AtwoodThe Second Circuit Court of Appeals affirmed the district court’s dismissal of a complaint alleging violations of 1933 Act Sections 10(b) and 20(a) because the plaintiff did not allege facts that give rise to a strong inference of scienter. [read post]
23 Sep 2022, 6:30 am
Bainbridge (UCLA), on Thursday, September 22, 2022 Tags: Financial reporting, Internal control, regulation, Sarbanes–Oxley Act, SOX, SOX Section 404 [read post]
19 Aug 2022, 7:21 am
By John Filar AtwoodFor the second time in its history, the PCAOB has released for public comment a draft of its five-year strategic plan. [read post]
9 Aug 2022, 3:30 am
– John Jenkins [read post]
29 Jul 2022, 6:30 am
Securities and Exchange Commission, on Thursday, July 28, 2022 Tags: Accounting, Accounting standards, Audits, Disclosure, Enron, FASB, Financial regulation, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation [read post]
29 Jul 2022, 6:30 am
Securities and Exchange Commission, on Thursday, July 28, 2022 Tags: Accounting, Accounting standards, Audits, Disclosure, Enron, FASB, Financial regulation, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation [read post]
24 Jul 2022, 9:05 pm
It is based on their recent paper with John E. [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]
19 Jul 2022, 6:33 am
The appeals court disagreed, holding that the text of Sarbanes-Oxley Act (SOX) Section 1514A is not a rule or regulation of the Commission (Baker v. [read post]
14 Jul 2022, 4:24 pm
As Woodford put it, “I had walked into a John Grisham novel. [read post]
24 Jun 2022, 6:26 am
Bell, Dawn Belt, and Ron Llewellyn, Fenwick & West LLP, on Wednesday, June 22, 2022 Tags: Board composition, Board dynamics, Board turnover, Boards of Directors, Diversity, ESG, Institutional Investors, Proxy advisors, Securities regulation Proposal on Climate-Related Disclosures Falls Within the SEC’s Authority Posted by John C. [read post]
24 Jun 2022, 6:26 am
Bell, Dawn Belt, and Ron Llewellyn, Fenwick & West LLP, on Wednesday, June 22, 2022 Tags: Board composition, Board dynamics, Board turnover, Boards of Directors, Diversity, ESG, Institutional Investors, Proxy advisors, Securities regulation Proposal on Climate-Related Disclosures Falls Within the SEC’s Authority Posted by John C. [read post]
18 Jun 2022, 6:30 am
According to SEC Chair Gary Gensler, “[w]e have a basic bargain in our securities regime, which came out of Congress on a bipartisan basis under the Sarbanes-Oxley Act of 2002. [read post]
18 Jun 2022, 6:30 am
According to SEC Chair Gary Gensler, “[w]e have a basic bargain in our securities regime, which came out of Congress on a bipartisan basis under the Sarbanes-Oxley Act of 2002. [read post]
7 Jun 2022, 2:31 pm
In addition, the company’s founder and former CEO, Stephen Waldis, while not charged with misconduct, agreed to reimburse the company for more than $1.3 million in stock sale profits and bonuses as well as to return previously granted shares of company stock pursuant to Section 304 of the Sarbanes-Oxley Act (SOX). [read post]
6 Jun 2022, 9:05 pm
Armstrong, EY Professor of Accounting at the Wharton School; John D. [read post]
11 May 2022, 8:40 am
Corruptly Influencing an Official Proceeding Enacted with the Sarbanes-Oxley Act of 2002, 18 U.S.C. [read post]
21 Apr 2022, 6:27 am
By John Filar AtwoodThe PCAOB has imposed $50,000 fines and other penalties against two auditors that used unregistered accounting firms to help them conduct issuer audits. [read post]
