Publications

Section Newsletter Articles on Sarbanes-Oxley Act

Dodd-Frank provides incentives and enhanced protections for individuals to blow its new, shiny “whistle,” but Sarbanes-Oxley’s old whistleblower protections may have more luster in certain situations By Michael R. Karnuth Business and Securities Law, September 2014 Provided here is an explanation of (I) the DFA’s award and protection provisions, and how those provisions differ from SOX’s whistleblower provisions for considering which provisions to select and utilize; and (II) the procedures for submitting eligible information and seeking an award from the SEC under the DFA.
Time for a governance “tune-up” By Jeffrey E. Smith Corporate Law Departments, July 2009 As the dust (hopefully) begins to settle during this time of bank and market uncertainty, and a lull continues for bank M&A activity, it may be just the time to review your institution’s governance structure, documents, and mechanisms to bring them up to date (including incorporation of appropriate “best practices” under Sarbanes-Oxley), to provide important alternatives and flexibility for responding to M&A and other corporate opportunities, and to generally put the institution in a position to better respond to market opportunities and events as they unfold.
More from Sarbanes-Oxley—Whistleblower protection By Ned Othman Corporate Law Departments, September 2003 The Sarbanes-Oxley Act (SOX) of 2002, well-known for its corporate governance and accounting practices, also includes significant whistleblower provisions, requiring procedures for handling whistleblower complaints and providing protection to employees who make whistleblower complaints.
An overview of the whistleblower provisions of The Sarbanes-Oxley Act By Robert T. Bernstein and Jill P. O’Brien Labor and Employment Law, June 2003 The Sarbanes-Oxley Act, also known as "The Corporate and Criminal Fraud Accountability Act," was implemented to provide for sweeping reforms in both corporate governance and within the accounting industry.
“Up the ladder” or “up the creek”? Environmental counsel and the strange new world of Sarbanes-Oxley By Phillip R. Van Ness Environmental Law, December 2002 In an earlier edition of this newsletter, we advised readers that the environmental practitioner may find himself/herself entangled in the attorney regulatory rules to be promulgated by the Securities and Exchange Commission (SEC) in response to the so-called Sarbanes-Oxley Act of 2002 (Public Law No. 107-204) (the Act).