sarbanes-oxley act of 2002 affect information security managers
368 results for sarbanes-oxley act of 2002 affect information security managers
-
vLex Rating
-
Incentive-Based Compensation Arrangements
The OCC, Board, FDIC, FHFA, NCUA, and SEC (the Agencies) are seeking comment on a joint proposed rule (the proposed rule) to revise the proposed rule the Agencies published in the Federal Register on April 14, 2011, and to implement section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 956 generally requires that the Agencies jointly issue...
... to disclose information concerning incentive-. based ...For security reasons, the OCC requires that ...Takers Affected by Forfeiture and Downward ... of executives, managers, and other employees with the ... and Economics 145 (2002); Coles, Daniel, and Naveen, ...
-
Workforce Innovation and Opportunity Act
The Department of Labor (DOL or the Department) issues this Final Rule to implement titles I and III of the (WIOA). Through these regulations, the Department reforms and modernizes our nation's workforce development system. This rule provides the framework for changes for statewide and local workforce development systems to increase the employment, retention, earnings, and occupational skill...
...FOR FURTHER INFORMATION CONTACT: Adele Gagliardi, ... provisions of WIOA that affect the core programs under title I, ...ESARS Employment Security Automated Reporting System. ETA ... because local case managers have real-time participant ... Homeland Security Act of 2002, Pub. L. 107-296, that authority ...
-
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.
... who provide original information to the SEC relating to the ... for victims and affected communities--are adequately ..., the Sarbanes-Oxley Act of 2002 ("SOX"); Dodd-Frank is 849 pages ... purchase or sale of a security listed on an American stock ... hedge funds, asset managers, private bankers, and high ...
-
Pay Ratio Disclosure
We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 953(b) directs the Commission to amend Item 402 of Regulation S-K to require disclosure of the median of the annual total compensation of all employees of a registrant (excluding the chief executive officer), the annual total compensation...
... report, proxy or information statement, or registration ... regulatory scheme to affect business, consumers, and law.'') ... exempt any person, security, or transaction, or any class or ...L. 107-204, 116 Stat. 745 (2002). \383\ See, e.g., letters ...Agents and Managers for Artists, Athletes, ...
-
How corporate governance is made: the case of the golden leash.
... Ownership information is obtained from Thomson Reuters ... Center for Research in Security Prices database and Yahoo! ... institutional ownership affects share price reactions using the ... and foreseeable, managers may get a free pass for adopting ...CORP. L. 231, 262-63 (2002). . (35) Benjamin E. Hermalin & ...
-
Rethinking the law firm organizational form and capitalization structure.
... downturn of 2008 deeply affected the legal profession, and ... required to disclose information about the firm, but closely-held ... that all non-lawyer managers be subject to the D.C. Rules of ...) to implement their own security "blue sky" laws. Indeed, the ..., and Clients 2.20 (2002), available at ...
-
Cost-benefit analysis of financial regulation: case studies and implications.
... time-varying observables affect crisis frequency, as seems ... limited cost-related information in its analyses under the RFA ... of risk by bank managers (for the same reason); reduced ... potential losses for security-based swap customers if a ... Of Regulatory Protection (2002) [hereinafter Sunstein, The ...
-
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.
-
Public laws and private lawmakers.
... process, enabling affected parties to invest in the final ..."[I]f most of the information submitted to an agency reflects ... deference to the Social Security Administration's denial of ... policy makers, and that managers and street-level workers are ... (87.) Sarbanes-Oxley Act of 2002, Pub. L. No. 107-204, 116 Stat. ...
-
Unfulfilled expectations: an empirical analysis of why Sarbanes-Oxley whistleblowers rarely win.
... the Sarbanes-Oxley Act of 2002 as one of the most protective ... and substantive information about Sarbanes-Oxley cases in ... factors," that "tends to affect in any way the outcome of the ... that the employee is a "security risk." (81) Of course, if ...("Corporate managers had better brace themselves."). ...
-
Stockholder adoption of mandatory individual arbitration for stockholder disputes.
... investors who owned a security at a time when there was an ...Managers seeking short-term profits from ..., the Sarbanes-Oxley Act of 2002 (SOX) (30) created a "Fair Fund" ... the group most likely affected by the Opt-In Proposal, there ... necessary claim information as an economic matter"). . ...
-
"Private justice" and FCPA enforcement: should the SEC whistleblower program include a qui tam provision?
... persons to disclose information and evidence regarding ... realization may, in turn, affect companies' calculus in deciding ... other threats to human security to flourish." (170) As ...Calif. L. Rev. 1,4 (2002). . (3.) See also id. at 8 ... that which in-country managers often assert: "the company ...
-
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 doing ..."publicly threatened the security of his job." (78) Boisjoly was ... Sarbanes-Oxley Act (SOX) in 2002. (86) SOX was prompted by public ... abilities directly affecting corporations, and may also ... actions against managers found to have retaliated." (161) ...
-
The cost of securities fraud.
... as sources of information." (166) There is no empirical .... Firms' managers recognize that employees read ... in internal controls that affect the firm's overall control ... issued between 1997 and 2002. It is possible that the period ..., or person, or the security is not based upon sound ...
-
Mandatory disclosure and individual investors: evidence from the JOBS Act.
... investors access to information that puts them on a more equal ... securities law actually affects individual investor ... to buy (or sell) a security at a given price, a relatively ... the Sarbanes-Oxley Act of 2002. (47) Section 404 requires that ..." is when the company's managers and financial advisors present ...
-
Updated COSO framework will help audit committees comply with SOX.
... the Sarbanes-Oxley Act of 2002 (SOX) was accomplished in large ... new age of financial information reliability and comparability. . ... the ED and how they may affect the company in future years. . * ... for Financial Managers, Accountants and Auditors ... and reporting; IT security and controls; and risk ...
-
New tactics in fighting financial crimes: moving beyond the fraud triangle.
... how it significantly affected the Dutch exchange market. In ... about fraud prevention managers would do well to remember ...Federal law enacted in 2002 that introduced major reforms in ... levels--from basic security measures, both physical and ... be at risk, but all information on the system can be at risk ...
-
Insider trading via the corporation.
... can trade on inside information more easily than its own ... the Sarbanes-Oxley Act of 2002, (7) insiders typically had ... are two reasons why managers may make repurchase ... personal trading does not affect ABC's per-share value. Consider ...Espen Eckbo et al., Security Offerings (reporting that ...
-
Securities fraud.
... to purchase or sell a security. (279) . A. Intent-Based ... of insider information. (288) "[A]n investor who has a ... misrepresentation did not affect the purchaser's actions. (325) . ...-Oxley Act, enacted July 30, 2002, the SEC has adopted a rule that ... are paid to help money managers and investors understand a ...
-
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
...For more information about the rulebook consolidation ... the Sarbanes-Oxley Act of 2002 (``Sarbanes-Oxley''), which ... appearance that could affect the price of the holdings. ... or issuer of a security mentioned in the reprint, and ... quiet period for managers and co-managers was intended to ...
-
Securities fraud.
... to purchase or sell a security. (288) . A. Intent-Based ... of insider information. (297) "[A]n investor who has a ... misrepresentation did not affect the purchaser's actions. (334) . ...-Oxley Act, enacted July 30, 2002, the SEC has adopted a rule that ... are paid to help money managers and investors understand a ...
-
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 or ... some circumstances to affected employees--e.g., when an ...438, 450 (2002) (stating first step in ... to the responsible managers of the ERISA plan. If one is ...
-
Enron - the bankruptcy heard around the world and the international ricochet of Sarbanes-Oxley.
... the Sarbanes-Oxley Act of 2002 ("the Act," or ... the United States affected by Sarbanes-Oxley receive a ..., but also that the information fairly represents, "in all ... of interest involving security analysts; (158) (13) define ... of American mutual fund managers, seventy-five percent said they ...
-
Investor participation in initial public offerings.
...Information Revelation 3. Litigation Risk 4. ... purchase or sale of any security .. any manipulative or deceptive ... the Sarbanes-Oxley Act of 2002 (94) and the Dodd-Frank Wall ... important factors that affect the SEC's functioning). . (49) ..., such as company managers or prominent venture ...
-
Slouching towards Monell: the disappearance of vicarious liability under section 10(b).
... by ensuring that managers exercise a certain duty of care, ... they relied on that information and incorporated it in the ... the corporation's security holders, but to improve the ... that when the problems affect a "core" aspect of the business, ...Rev. 991,991-92 (2002). . (9.) See Basic Inc. v. ...