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Tag: Sarbanes Oxley

Canary bird

Everything is Coming Up Whistleblowers

Canary bird

Good news, whistleblowers: The Supreme Court just gave you a huge victory. Even better, the robed justices aren’t the only arm of the government looking to protect whistleblowers. A decision last week from the highest court in the land affi...

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Dome of the U.S. Capitol building, where Sarbanes Oxley was drafted

Intelligize Data: Large Filers Struggling with Internal Controls After Going Public

Dome of the U.S. Capitol building, where Sarbanes Oxley was drafted

It has been more than 20 years since Congress passed the Sarbanes-Oxley Act in response to a rash of turn-of-the-century accounting scandals. But unlike those choker necklaces and Nickelback CDs you’re holding onto from the era, SOX remains...

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Spiral iron gate railings meeting SOX compliance.

SEC Indicates New Concerns Over Auditor Independence

Spiral iron gate railings meeting SOX compliance.

Who’s watching the watchers? It’s a question that has preoccupied conspiracy theorists and flummoxed polities for centuries. It seems to come up regularly in the world of corporate governance, too, when assessing Wall Street gatekeepers who...

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SEC Exercises Little-Used Clawback Rule

SEC Exercises Little-Used Clawback Rule

SEC Exercises Little-Used Clawback Rule

Unless you’re a student of corporate-governance history, you probably don’t remember SOX 304. That’s OK: the SEC rarely invokes the provision. But earlier this month, the agency dusted off the measure to claw back some ill-gotten gains from...

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A number 35 relief valve

SEC Eases Audit Requirements for Smaller Companies

A number 35 relief valve

It takes a lot to break through the coronavirus-centric news cycle, but this development in the world of financial regulation does the trick. Last week, the Securities and Exchange Commission adopted changes that will cut back on auditor at...

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