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Sarbanes-Oxley News & Developments

2003-10-29

D&O Insurance - The Heat Is On

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

2003-10-29

Ex-FleetBoston Exec Charged

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

2003-10-29

Public Companies Get C-Plus for Disclosure

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

2003-10-28

PCAOB Approves Registration of 598 Accounting Firms

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

2003-10-24

Ex-Freddie Mac Prez Fined

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

2003-10-24

Ex-Enron Chairman Tries to Quash Request by SEC

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

2003-10-24

Sometimes More Seems Like Less

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

2003-10-24

Corporate Cleanups - Stronger Than Dirt

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

2003-10-21

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.

2003-10-21

Survey Shows Companies Not Budgeting for Sarbanes-Oxley Compliance

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

2003-10-21

Conseco Seeks Foresclosure on Home of Ex-CEO

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

2003-10-20

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

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

2003-10-16

SEC Settles Charges with Former Controller

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

2003-10-16

SEC to NYSE: Practice What You Preach

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

2003-10-15

Rite Aid Jurors Begin Deliberations for Fate of Brown

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

2003-10-15

SEC Proposes Director Nomination Rules

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

2003-10-14

SEC Regulators Prepare To Take On Fund Villains

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

2003-10-13

Regulators Say Executives Need Not Certify All Reports

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

2003-10-13

SEC Sues Father of Former ImClone CEO Samuel Waksal

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

2003-10-09

PCAOB Airs Proposal for Sarbox Section 404

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

2003-10-08

Coca-Cola Settles Whistleblower Lawsuits

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

2003-10-08

Opening Arguments vs Ex-Tyco Execs

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

2003-10-06

Internet Initiative Japan Inc. Receives NASDAQ Delisting Notice

IIJI filed incomplete annual financial reports.

2003-10-06

Shareholder Reforms Fall Short

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

2003-10-03

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.

2003-10-03

Corporate Tax Windfall

How to spend it?

2003-10-01

Growing Legal Threats Bring Rise In Insurance Premiums

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

2003-10-01

Woes Of Sarbanes-Oxley Whistleblowers

Will Sarbanes-Oxley spark employee lawsuits?

2003-10-01

SEC Eyes Freddie Mac Fraud

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

2003-10-01

Quattrone Will Testify At Trial

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


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The View from the Other Side
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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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