‘Enforcement 40’ for 2020
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By Securities Docket on January 2, 2016, 7:34 pm
Former U.S. Rep. Michael G. Oxley, co-author of the landmark Sarbanes–Oxley Act of 2002, died January 1, 2016, at age 71. SOX was enacted July 30, 2002, in response to a series of massive accounting scandals involving public companies such as Enron and Worldcom. via Former Rep. Michael Oxley, Co-Author of “SOX,” Dies at Age […]
By Securities Docket on December 20, 2013, 12:11 pm
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Posted in Industry, SEC | Tagged CFOs, Dodd-Frank, Liability, SOX
By Securities Docket on July 10, 2012, 5:39 pm
Court holds Dodd-Frank amendment SOX that protects employees of subsidiaries of public companies applies retroactively.
Posted in SEC, Top | Tagged Dodd-Frank, SOX, Whistleblowers
By Securities Docket on July 22, 2009, 1:20 pm
The SEC has asked a federal court in Arizona to order the former CEO of CSK Auto Corporation to reimburse the company and its shareholders more than $4 million under SOX 304. According to the SEC, this is the first action seeking reimbursement under the SOX “clawback” provision (Section 304) from an individual who is […]