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attorney and regulatory compliance

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Did you mean attorney general (2 results)

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SEC Adopts Final Attorney Conduct Rules: On January 29, 2003, the Securities and Exchange Commission ("SEC") adopted final rules implementing standards of professional conduct for attorneys pursuant to Section 307 of the Sarbanes- Oxley Act of 2002 ("SOX"). The final rules require that if an attorney, appearing and practicing before the SEC in the representation of...; Tags: Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations, U.S., Quality, Real Estate, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Regulations; White papers 2003-05-01
SEC Rules Under Sarbanes-Oxley Section 307: The Securities and Exchange Commission SEC seeks to streamline professional conduct for attorneys. It has issued rules governing professional responsibilities for attorneys. It also lays down ‘minimum standards’ of professional conduct for attorneys appearing or practicing before the SEC. These rules are contained in a recently passed Act. The paper...; Tags: Quality, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Sarbanes-Oxley Act; Presentations 2003-02-14
SEC Adopts Final Rules of Conduct for Attorneys Under the Sarbanes-Oxley Act: This article contains that after receiving 167 timely filed comment letters to its controversial proposed rules, the SEC adopted final rules implementing Section 307 of the Sarbanes-Oxley Act. This report discusses some of the major components of the final SEC rules. It also contains features such as scope of the...; Tags: Regulatory Compliance, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Sarbanes-Oxley, Attorney, SEC, Sarbanes-Oxley Act; White papers 2003-02-13
SEC Adopts Final Rules Implementing Section 307 Of The Sarbanes-Oxley Act Of 2002: A recent Act adopted by Securities and Exchange Commission SEC seeks to streamline professional conduct for attorneys. It contains rules governing professional responsibilities for attorneys. It also lays down ‘minimum standards’ of professional conduct for attorneys appearing or practicing before the SEC. The paper examines these issues contained in the...; Tags: Policies And Procedures, Human Resources, Finance, Financial Accounting, Government, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Sarbanes-Oxley Act, Business Operations, Regulations, Quality; White papers 2003-02-14
SEC Adopts Standards of Professional Conduct for Attorneys Under Sarbanes-Oxley Act: Securities and Exchange Commission SEC has adopted standards of professional conduct for attorneys appearing and practicing before the SEC. In adopting these rules, as mandated by Section 307 of the Sarbanes-Oxley Act of 2002 the Act, the SEC recognized the important and expanding role of attorneys in their representation of...; Tags: Regulatory Compliance, Sarbanes-Oxley, Corporate Governance, Attorney, Standards, SEC, Sarbanes-Oxley Act, Corporate Law, Quality, Regulations, Business Operations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures; White papers 2003-02-05

Attorneys Don't Get A Pass From Sarbanes-Oxley: From the executive summary: ‘As a part of sweeping corporate governance reforms mandated by the Sarbanes-Oxley Act of 2002, the Securities and Exchange Commission SEC adopted ethical rules for attorneys who represent public companies and their non-public subsidiaries. The SEC rules make it clear that “attorneys cannot get a pass”...; Tags: Financial Accounting, Government, Finance, Human Resources, Policies And Procedures, Business Operations, Corporate Law, Sarbanes-Oxley Act, Regulations, Regulatory Compliance, Sarbanes-Oxley, Attorney, SEC, Reed Elsevier Inc., Corporate Governance; White papers 2003-01-01
SEC Adopts Final Rules Related to Professional Conduct for Attorneys: The SEC adopted final rules pursuant to Section 307 of the Sarbanes-Oxley Act, establishing standards of professional conduct for attorneys who appear and practice before the SEC on behalf of public companies. The new rules are contained in SEC Release No. 33-8185. Article explains the attorneys covered by the rules....; Tags: Sarbanes-Oxley, Regulatory Compliance, Quality, Regulations, Government, Financial Accounting, Finance, Human Resources, Policies And Procedures, Business Operations, SEC, Article, Attorney; White papers 2003-01-01
The Sarbanes-Oxley Act of 2002 - Implications For Corporate Officers and directors: The Sarbanes-Oxley Act of 2002 (also known as the Public Company Accounting Reform and Investor Protection Act of 2002) (the “Act”) was signed into law on July 30, 2002 ostensibly in response to the recent financial debacles of certain public companies. The Act was designed primarily as a prophylactic measure...; Tags: Business Operations, Policies And Procedures, Human Resources, Regulations, Financial Accounting, Litigation, Regulatory Compliance, Sarbanes-Oxley, Investor Protection Act, Attorney, Fraud, SEC, Finance, Government, Sarbanes-Oxley Act, Financial; White papers 2003-01-01
Implementation Of Standards of Professional Conduct For Attorneys Required By Section 307 Of The Sarbanes-Oxley Act: Article focuses on the proposed rule of implementing the standards of professional conduct for attorneys required by section 307 of the Sarbanes-Oxley Act. It provides the information related to different section considered under the Act such as : Section 205.3: Issuer as Client Section, 205.4: Responsibilities of Supervisory Attorneys, ...; Tags: Quality, Human Resources, Business Operations, Policies And Procedures, Regulatory Compliance, Finance, Financial Accounting, Government, Regulations, Sarbanes-Oxley, Attorney, Standards, Sarbanes-Oxley Act; White papers 2002-12-06

Additional Resources

Gardere Boosts Construction Practice With Addition of Home Builder Industry Veteran: HOUSTON, Sept. 24 /PRNewswire/ -- Gardere Wynne Sewell LLP is strengthening its construction practice with the addition of noted home builder industry veteran Steve Lane as a Senior Attorney. Mr. Lane joins the firm after more than 25 years working as an in-house attorney for national and...; Articles 2008-09-24
LeClairRyan Attorneys to Present at National Society of Compliance Professionals' National Meeting: -- Sessions take on heightened significance amid financial sector's crisis PHILADELPHIA, Sept. 19 /PRNewswire/ -- The recent collapse of powerful financial institutions and concurrent calls for heightened focus on regulatory compliance, cast a special importance on sessions on Compliance Risk Assessments that will be held during the...; Articles 2008-09-19
Financial Advisors at Merrill Lynch and Morgan Stanley Are Assessing Their Employment Options, Says The Law Offices of Patrick J. Burns, Jr., P.C: BEVERLY HILLS, Calif., Sept. 18 /PRNewswire/ -- The recent takeover of Merrill Lynch Merrill by Bank of America and takeover over talk concerning Wachovia possibly acquiring Morgan Stanley Morgan has resulted in many of their financial advisors assessing whether a wire house environment still makes sense or an independent...; Articles 2008-09-18
Former CFTC Director Gregory Mocek Joins McDermott Will & Emery: WASHINGTON -- International law firm McDermott Will & Emery is delighted to announce that Gregory Mocek, the former Director of Enforcement for the United States Commodity Futures Trading Commission CFTC, will join the Firm in September, as partner in the Washington, D.C. office. He will be a...; Articles 2008-07-09
Brown Becomes of Counsel to Bennet & Bennet Law Firm: BETHESDA, Md. -- The communications law firm of Bennet & Bennet today announced that rural telecommunications industry veteran Andy Brown has become "Of Counsel" to the firm. Brown, whose 25+ year career in rural telecommunications has included stints in senior management positions at both NTCA and NRTC,...; Articles 2008-07-09
ONSITE3 Releases eView 2.0 Review Platform for Increased Productivity of Attorney Document Review: ONSITE3TM, a leading global provider oflitigation support and electronic evidence solutions for law firms andcorporations, today announced general availability of its eViewTM 2.0review platform. The new eView release features the industry's mostadvanced workflow management capabilities for streamlining and productivitytracking of large and complex attorney review processes. "ONSITE3 is...; Articles 2008-07-09
Risk: Keeping Ahead of the Curve-A conference summary: The Chicago Fed's Supervision and Regulation Department, in conjunction with DePaul University's Center for Financial Services, sponsored a conference on March 6-7, 2008. The conference brought together bankers, supervisors, and academics to focus on comprehensive risk management, an extremely timely topic given the recent financial turmoil. ...; Articles 2008-07-01
National Fuel Announces Management Changes:: Ronald J. Tanski Named President of National Fuel Gas Supply Corporation Anna Marie Cellino Named President of the Utility Paula M. Ciprich Named Secretary of National Fuel Gas Company WILLIAMSVILLE, New York -- National Fuel Gas Company (NYSE: NFG) ("National Fuel"...; Articles 2008-06-30
Multnomah Bar Association elects new officers: The Multnomah Bar Association has elected Michael Dwyer, Leslie N. Kay, Michelle S. Druce and Lisa M. Umscheid as officers. Dwyer was elected president after serving as president-elect in 2007. As a partner at Dwyer & Miller, his practice focuses on mediation and...; Articles 2008-06-30
Susan Berson Rejoins Mintz Levin to Head Washington, D.C. Office: WASHINGTON -- Susan Berson, a senior healthcare industry attorney who most recently served as General Counsel for the Public and Senior Markets Group of UnitedHealth Group, one of the nation's largest insurers, has rejoined Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, PC as Managing Member of the...; Articles 2008-06-30
StoneTurn Group Opens Chicago Office: Two new partners join firm in Chicago, Forensic Technology leader to relocate to Chicago CHICAGO -- StoneTurn Group, LLP, a firm specializing in forensic accounting, forensic technology, intellectual property, economic analysis and dispute consulting, today announced the opening of its Chicago office. Joining...; Articles 2008-06-26

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