sarbanes-oxley act of 2002 affect information security managers
563 results for sarbanes-oxley act of 2002 affect information security managers
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The Jumpstart Our Business Startups Act Takes the Bite Out of Sarbanes-Oxley: Adding Corporate Governance to the Discussion
The Jumpstart Our Business Startups Act ("JOBS Act"), which became law in April 2012, made significant deregulations to the United States' securities law. One such deregulation essentially eliminated the outsider audit mandated by the Sarbanes–Oxley Act of 2002 ("SOX"). There are strong justifications for and arguments against the JOBS Act. However, one significant interest is
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Securities fraud.
... purchase or sell a security. (279) . A. Intent-Based ... of insider information. (288) "[A]n investor who has ... did not affect the purchaser's actions. ... paid to help money managers and investors understand a ...
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Play through the whistle: the scope of anti-retaliation protection for employee complaints pursuant to ERISA Section 510.
... Retirement Income Security Act of 1974 ("ERISA"). (4) . ... for providing information or testimony in any "inquiry ... circumstances to affected employees--e.g., when an ... to the responsible managers of the ERISA plan. If one is ...
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Workforce Innovation and Opportunity Act
...FOR FURTHER INFORMATION CONTACT: Adele Gagliardi, ... of WIOA that affect the core programs under title ...ESARS Employment Security Automated Reporting System. ... because local case managers have real-time participant ...
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Executive pay: what worked?
... to disclosure, both managers and board members who set ... on financial information that ultimately proved to be ...Why didn't tax affect executive pay as much as has ... enjoy long-term security and careers as long as they ...
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WOMEN AND WHISTLEBLOWING: EXPLORING GENDER EFFECTS IN POLICY DESIGN.
..., regulation and law affect the calculation that leads ..., given the information that is currently available. ... from corporate managers, a robust whistleblowing ..., and job security primarily depend on their ...
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Asadi v. G.E. Energy (USA) L.L.C.: a case study of the limits of Dodd-Frank anti-retaliation protections and the impact on corporate compliance objectives.
... provide original information to the SEC relating to the ... for victims and affected communities--are adequately ... or sale of a security listed on an American stock ... hedge funds, asset managers, private bankers, and high ...
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Corporate Stewardship.
... faces significant information costs and other barriers to ... that currently make managers responsible for their ... or because their job security or compensation depends on ... services and products affect the health and well-being of ...
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Reforming FIFA from the Inside Out.
... to monitor the managers themselves, (20) although ..., Insurance and Data Security in hearings held over the ... to acquire the information necessary to make decisions. ... HOW SARBANES-OXLEY AFFECTS YOUR BUSINESS 99-105 (2007); ...
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Cost-benefit analysis of financial regulation: case studies and implications.
...-varying observables affect crisis frequency, as seems ... cost-related information in its analyses under the RFA ... of risk by bank managers (for the same reason); ... potential losses for security-based swap customers if a ...
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The cost of securities fraud.
... as sources of information." (166) There is no empirical .... Firms' managers recognize that employees read ... internal controls that affect the firm's overall control ..., or person, or the security is not based upon sound ...
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The law and economics of scaled equity market regulation.
... a great deal of information about its business and ... instance, that top managers at public companies warrant ...This should, in turn, affect firm pricing. Any given ... Section 404 of SarbanesOxley), with John L. Orcutt, The ... 16, Meeting of the Security & Exchange Commission's ...
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Unfulfilled expectations: an empirical analysis of why Sarbanes-Oxley whistleblowers rarely win.
... and substantive information about Sarbanes-Oxley cases in ...," that "tends to affect in any way the outcome of the ... the employee is a "security risk." (81) Of course, if ...("Corporate managers had better brace ...
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Debt Limits' End
Debt is a major tool funding American local governments. Local governments are, however, severely constrained in their ability to rely on this vital tool. For over a century now, state constitutions and statutes have strictly curbed local governments' power to issue debt. The effectiveness of these legal restrictions has often been questioned, but the rationale for their existence has not been...
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Benchmark Regulation
Benchmarks are metrics that are deeply embedded in the financial markets. They are essential to the efficient functioning of the markets and are used in a wide variety of ways—from pricing oil to setting interest rates for consumer lending to valuing complex financial instruments. In recent years, benchmarks have also been at the epicenter of numerous, multi-year market manipulation scandals. Oil
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Are South Dakota employees afraid to whistle their tune?: an argument for expanded whistleblower protections in South Dakota.
... certain types of information from retaliation. (70) In ... threatened the security of his job." (78) Boisjoly ... abilities directly affecting corporations, and may also ... actions against managers found to have retaliated." ...
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Tax Internal Controls in an Era of Transparency and Disclosure: S0X404, ASC 740, and PCAOB may seem easily managed but pose significant risks if not closely monitored.
... certainty and security for those who make investment ... resources, information on how to implement and ... and how they may affect your current process or ..., tax director, tax managers). As tax process owners, we ...
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Commoditized Governance: The Curious Case of Investment Company Shared Series Trusts.
... the funds' portfolio managers were persons steeped in ... definition of senior security in ICA Section 18(f) ... a wholly new information-sharing obligation between ... requirements that affect the board's composition and ...
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In search of effective ethics & compliance programs.
... that a corporate information and reporting system, which ... behave ethically, 4) managers and employees are supported ...(182) Companies can affect compliance through myriad ... KUPCHIK, HOMEROOM SECURITY: SCHOOL DISCIPLINE IN AN AGE ...
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Just Do It! Specific Rulemaking on Materiality Guidance in Insider Trading
Insider trading has been in the news on a relatively constant basis in the new millennium. Raj Rajaratnam and associates, Mark Cuban, and Martha Stewart have been among the many subjects of legal actions involving insider trading since the Enron debacle in 2002.
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The corporate governance obsession.
... of directors, and managers. (9) And most policy efforts ... to the greater informational content of stock market ..., whose wealth is affected by both upward and downward ... procedure used by security analysts); id. [section] 806 ...
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Ending executive manipulations of incentive compensation.
...Manipulation of Information Release III. CURRENT STATE OF ... of interests between managers and shareholders. (15) It may ..., and underlying security on which options are granted, ... grant significantly affects the price of the company's ...
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THE CORPORATE GOVERNANCE OF NATIONAL SECURITY.
...--including Freedom of Information Act (FOIA) requests, archival ... of corporate law is to make managers accountable to shareholders. (1) So ... securities filings by the affected companies give very few details. ...
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Mandatory disclosure and individual investors: evidence from the JOBS Act.
... access to information that puts them on a more ... law actually affects individual investor ... to buy (or sell) a security at a given price, a ... when the company's managers and financial advisors ...
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Securities fraud.
... purchase or sell a security. (288) . A. Intent-Based ... of insider information. (297) "[A]n investor who has ... did not affect the purchaser's actions. ... paid to help money managers and investors understand a ...