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Sarbanes-Oxley News & Developments


D&O Insurance - The Heat Is On

The fate of D&O insurance has become a national pastime in 2003.


Ex-FleetBoston Exec Charged

SEC says Guillermo Garcia Simon and family members profited from illegal inside trading.


Public Companies Get C-Plus for Disclosure

Quality of financial and corporate disclosures receive same grade as in 1999.


PCAOB Approves Registration of 598 Accounting Firms

Registration is a prerequisite for accounting firms to continue their work as auditors of public companies.


Ex-Freddie Mac Prez Fined

David Glenn will pay civil penalty of $125,000 and cooperate with accounting investigation.


Ex-Enron Chairman Tries to Quash Request by SEC

Kenneth Lay says documents requested by the SEC are personal, not corporate.


Sometimes More Seems Like Less

Most reform measures dance around the main interest - conflict of interest.


Corporate Cleanups - Stronger Than Dirt

The litany of corporate accounting scandals is wide-ranging, some say ingenious.


PCAOB Adopts Final Rules for Inspections of Accounting Firms

Section 104(a) directs the Board to conduct continuing inspections for those needing to comply with the Act.


Survey Shows Companies Not Budgeting for Sarbanes-Oxley Compliance

Gartner, Inc. survey shows many companies not budgeting the proper resources to achieve compliance.


Conseco Seeks Foresclosure on Home of Ex-CEO

Conseco seeks foreclosure toward recovering $217 million they say Hilbert owes.


NY-Attorney General and SEC Bring Criminal & Civil Charges Against Mutual Fund Exec

Arrest, conviction, and lifetime industry bar for James P. Connelly, Jr.


SEC Settles Charges with Former Controller

The SEC settled civil charges against Gregory L.English, former corporate controller of NCI Building Systems, Inc.


SEC to NYSE: Practice What You Preach

Exchange must at least match the governance standards it demands from listed companies.


Rite Aid Jurors Begin Deliberations for Fate of Brown

The fate of 75 year old former vice chairman and chief counsel to be determined.


SEC Proposes Director Nomination Rules

Proposal to have proxy materials include nominees for election of directors.


SEC Regulators Prepare To Take On Fund Villains

Irate regulators plan to throw the rule book at miscreants involved in current fund-trading scandal.


Regulators Say Executives Need Not Certify All Reports

New ruling removes some risk of prosecution under Sarbanes-Oxley for corporate executives.


SEC Sues Father of Former ImClone CEO Samuel Waksal

The SEC assuses Jack Waksal of insider trading, involving sales of ImClone stock.


PCAOB Airs Proposal for Sarbox Section 404

New standard would provide guidelines for audits of internal control over financial reporting.


Coca-Cola Settles Whistleblower Lawsuits

Coke will pay $540,000 to setttle lawsuits brought by a former employee.


Opening Arguments vs Ex-Tyco Execs

Case against Kolowski and Swartz is about lying, cheating and stealing.


Internet Initiative Japan Inc. Receives NASDAQ Delisting Notice

IIJI filed incomplete annual financial reports.


Shareholder Reforms Fall Short

Proposed regulations enable shareholders to nominate directors but this provision would only be after a two-year process.


Firms Fortify Financial Reporting Amid Fallout of Corporate Governance Crisis

Sarbanes-Oxley, which stipulates accounting standards for public companies, is now having an impact on private companies.


Corporate Tax Windfall

How to spend it?


Growing Legal Threats Bring Rise In Insurance Premiums

Insurance D&O policy premiums increasing to cover directors from being sued.


Woes Of Sarbanes-Oxley Whistleblowers

Will Sarbanes-Oxley spark employee lawsuits?


SEC Eyes Freddie Mac Fraud

SEC is examining evidence of fraud at mortgage finance company Freddie Mac.


Quattrone Will Testify At Trial

Frank Quattrone, one-time investment banker, is facing obstrution of justice charges.

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Capital Markets Report Urges 404 Fixes
A panel says changes in the way Sarbanes-Oxley has been applied will improve the competitiveness of the U.S. capital markets.

Wal-Mart Whistleblower Drops Lawsuit
Former executive still has a whistleblower case pending before the Labor Department.

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