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Insider trading and determinations by the company

Dorsey & Whitney LLP
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USA
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October 22 2012

In SEC v. Obus, Docket No. 10-4749 (2nd Cir. Decided Sept. 6, 2012) the Circuit Court found that the defendants could be held liable for insider trading despite the fact that the company concluded they had not breached any duty

Privilege under SOX in a PCAOB inspection of an audit firm

Dorsey & Whitney LLP
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USA
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October 15 2012

The Public Company Accounting Board or PCAOB was created under the Sarbanes Oxley Act of 2002

Part VII: how corporate officials can get a good night’s sleep despite current SEC enforcement trends

Dorsey & Whitney LLP
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USA
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August 15 2012

This is the seventh in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability

Part V: how corporate officials can get a good night’s sleep despite current SEC enforcement trends

Dorsey & Whitney LLP
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USA
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August 13 2012

This is the fifth in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability

Part IV: how corporate officials can get a good night’s sleep despite current SEC enforcement trends

Dorsey & Whitney LLP
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USA
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August 12 2012

This is the fourth in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability

How corporate officials can get a good night’s sleep despite current SEC enforcement trends

Dorsey & Whitney LLP
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USA
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August 9 2012

This is the second in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability

Part III: how corporate officials can get a good night’s sleep despite current SEC enforcement trends

Dorsey & Whitney LLP
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USA
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August 9 2012

This is the third in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability

SEC staff report on Global Accounting Standards considerations, no recommendation

Dorsey & Whitney LLP
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USA
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July 22 2012

Discussions regarding the use of international accounting standards have gone on for years

Another SOX 304 strict liability action

Dorsey & Whitney LLP
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USA
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April 3 2012

The Commission filed another strict liability, SOX 304 action, seeking to clawback certain CEO and CFO compensation

PCAOB imposes record fine on E&Y in public proceeding

Dorsey & Whitney LLP
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USA
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February 9 2012

E&Y was fined a record $2 million by the PCAOB in connection with repeated violations of professional standards

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