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Sarbanes-Oxley News & Developments

2004-06-28

SEC Settles with Two Former Qwest Execs

The charges involved a $26.6 million overstatement of revenue.

2004-06-28

Big GAAP, Little GAAP

The FASB wants 'to make sure the concerns of private companies and small public companies are being heard.'

2004-06-25

FASB Proposes Changes in Measuring Fair Value

Valuation techniques should include input from active markets.

2004-06-25

PCAOB Targets 650 Audits

The audit oversight board will pore over 500 audits by the Big Four and 150 produced by the second-tier accounting firms.

2004-06-23

SEC Approves PCAOB Auditing Standard No. 2

Implementation Guidance to be Available

2004-06-23

Attorney for Lay on the Offensive

Claims are that Lay knew nothing about the fraud that pushed Enron into bankruptcy,

2004-06-23

Audit Your Technology Infrastructure

IT audits are not a matter of pure accounting.

2004-06-22

SEC OKs Auditor Role for Section 404

Newly approved standard will guide how auditors report on companies assessments of their internal controls.

2004-06-22

Charges for Ex-CFO of Network Associates

Former chief financial officer Prabhat Goyal faces a 20-count criminal indictment and SEC civil charges.

2004-06-22

Voluntary Sarbox for Private Companies

Many private businesses are 'looking at their high-exposure areas with increased scrutiny.'

2004-06-22

SEC, Software Firm Settle Accounting Charges

Had i2 Technologies reported correct financials, they would have been increasingly negative.

2004-06-22

SEC Warns Auditors on Contingency Fees

Chief accountant warned the major accounting firms to stop charging contingency fees for handling the tax work of companies they audit or else face enforcement action.

2004-06-10

Managing the Risks of Sarbox 409

The pressures imposed by real-time reporting under the dictates of Section 409 of the Sarbanes-Oxley Act can add to the legal liabilities of finance chiefs and their bosses.

2004-06-10

PCAOB Approves Rules for Foreign Auditors

Under the new rules, the process for examining foreign firms would vary from country to country.

2004-06-10

Whistle-Blower Claims Mostly Dismissed

Eighty percent of the claims of employees seeking protection under the Sarbanes-Oxley Act have been tossed aside.

2004-06-09

KPMG Named in MCI Case

KPMG could be facing trouble again as a result of its tax-shelter business.

2004-06-09

Sullivan Pleads Guilty to Conspiracy

The ex-finance chief pleaded guilty to one count of conspiracy to commit securities fraud.

2004-06-09

Corporate Boards Undergo Shakeup

Most companies hired new directors this year, while many are increasing the pay of committee chairs.

2004-06-08

Ex-CFO from Vivendi under Investigation

Officials are looking at the former finance chief for possible stock manipulation and providing false information.

2004-06-08

Company Size and 404 Compliance

There are 'pronounced differences' between larger and smaller companies regarding Section 404 of Sarbox.

2004-06-07

Sarbox Compliance and Technology

Technology is playing a much bigger role at companies faced with Sarbanes-Oxley requirements.

2004-06-07

SEC Toughening Up on Noncooperation

Symbol Technologies, Lucent, and Banc of America Securities are three of the latest companies to pay up for being less than forthcoming.

2004-06-03

Fastow Will Not Testify at First Enron Trial

Andrew Fastow is not on the witness list for the first criminal trial involving the former energy giant.

2004-06-03

Former Auto-Parts CFO Sentenced

Former president and chief operating officer has also pleaded guilty.

2004-06-03

Investment-grade Conduct

Sarbanes-Oxley requires the SEC to study credit-rating agencies.

2004-06-03

Former HealthSouth CFO Avoids Prison

He is one of five former HealthSouth finance chiefs to plead guilty.

2004-06-02

Former HealthSouth Exec Avoids Prison

He will still spend six months under electronic monitoring, pay a $10,000 fine, and forfeit $750,000.

2004-06-02

Break Up the Big Four?

It may be time to break up the largest accounting firms.

2004-06-02

Former Qwest Finance Exec Pleads Guilty

May testify against a former senior vice president whose case ended in a mistrial earlier this year.

2004-06-02

Major Investors Back Proxy Access

The proposed rules that would open up the director nomination process.

2004-06-02

PwC Probed on Auditor Independence

Inquiry concerns resignation of PwC as one of the auditors for Royal Bank of Canada.

2004-06-01

Former Rite Aid CEO, CFO Sentenced

Two former top executives of Rite Aid Corp. are heading to prison.

2004-06-01

PwC Settles Raytheon Case for $50 Million

PwC denied any wrongdoing in settling the case.

2004-06-01

PCAOB Auditing Standard No. 1 Effective May 24

This replaces the previous reference to generally accepted auditing standards.

2004-06-01

PCAOB Establishes Standing Advisory Group

The group will help the Board review existing auditing standards.


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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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