Sarbanes-Oxley Act Could Punish Executives
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Thanks to a two-year-old corporate responsibility law, regulators and directors have powerful new tools at their disposal if their investigations uncover misconduct at Fannie Mae.
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The Justice Department is considering scaling back tough policies used to prosecute scandal-plagued corporations, legal tools criticized as unfairly pressuring companies and employees to cooperate in investigations.
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Companies are struggling to cope with tighter corporate governance regimes, which might even work against the goal of achieving improved IT security they are partly designed to promote.
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The Hong Kong government may formally punish its investment chief over a post-SARS concert series headlined by the Rolling Stones that was criticized as a money-wasting boondoggle, a top official said Wednesday.
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The U.S. Department of Justice said on Tuesday it is imposing new restrictions on corporate crime prosecutors in response to criticism that over-aggressive tactics were being used in some federal cases.
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New York Attorney General Eliot  Spitzer, leading a broad probe into insurance industry fraud  and price-fixing, said Friday he intends to pursue criminal  charges against executives as high as possible up the corporate  ladder.
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Congress is taking a close look at suspiciously timed stock options for top company executives, a corporate practice that is a source of anger for shareholders and the subject of federal investigations.
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Enterprise software makers and the companies they serve have done much gnashing of teeth in the last year over meeting the requirements of the Sarbanes-Oxley Act (Sarbox). But Sarbox is only one of many regulatory challenges that organizations are struggling to meet, AMR Research's John Hagerty stresses.
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The Securities and Exchange Commission is preparing enforcement actions against three US stock exchanges -- and possibly the head of one of them -- over charges that in-house regulators failed to adequately enforce their own rules
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The ruling could force Wall Street firms to step up oversight of some of their most lucrative clients.
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Managers who give false or misleading information about their companies that hurts investors could be forced to pay up to four years' salary in penalties under a proposed German law, officials said Wednesday.
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The top three executives of the American Stock Exchange may face civil charges for failing to properly enforce the exchange's rules.
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Companies under $700 million market cap get Sarbanes-Oxley filing extension.
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Private equity and hedge fund executives yesterday warned lawmakers that efforts to raise taxes on their firms' managers could weaken the global competitiveness of US financial markets.
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A flurry of companies may miss the deadline to comply with new regulations brought in after the corporate scandals of 2002, but the key for investors will be to judge how serious the underlying problems really are.
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WASHINGTON - Federal regulators proposed yesterday to loosen restrictions on executives&#39; comments in the weeks before their company goes public in a stock sale.
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A strategy executives use to turn their stockholdings into cash while delaying payment of taxes is coming under increased scrutiny by the Internal Revenue Service.