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- Financial Experts and Codes of Ethics: SEC Adopts More Realistic Final Rules
- In a substantial departure from its proposed "financial expert" definition, the SEC has adopted a more realistic final definition of "audit committee financial expert." The SEC final rules adopted pursuant to Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 will require a public company to disclose, for fiscal...
- White papers 2003-07-31
- ‘Financial Experts' on Audit Committees
- The Securities and Exchange Commission has recently proposed rules requiring disclosure of the identity of those members of a public corporation's audit committee who are "financial experts" as defined. If a corporation has no financial expert on its audit committee, it must explain why it does not. Though styled as...
- White papers 2002-11-01
- SEC Adopts Final Rules Regarding Audit Committee Financial Experts
- Section 407 of the Sarbanes-Oxley Act directed the SEC to issue rules that would require a company to disclose whether or not, and if not, the reasons why not, the audit committee of that company is comprised of at least one member who is a "financial expert." On October 22,...
- White papers 2003-02-06
- SEC Adopts Rules Under the Sarbanes-Oxley Act of 2002 on Codes of Ethics and Audit Committee Financial Experts
- The U.S. Securities and Exchange Commission recently adopted final rules that were mandated by Sections 406 and 407 of the Sarbanes-Oxley Act, and set out new requirements with respect to: codes of ethics; and financial experts on an issuer's audit committee. The final rules implementing Section 406 of the Sarbanes-Oxley...
- White papers 2003-01-29
- SEC Final Rules Under Sarbanes-Oxley
- This article highlights the provisions and the dates for compliance that boards and executives need to know about Sarbanes-Oxley Act. The focus is on issues such as: Audit committee financial expert, under section 407 rules mandates that public companies are required to disclose whether or not they have an audit...
- White papers 2003-02-01
- Proposed Rules On Disclosures Required By Sections 404, 406 and 407 Of The Sarbanes-Oxley Act Of 2002
- In its continuing efforts to implement the Sarbanes-Oxley Act , the Securities and Exchange Commission, on October 22, 2002, issued a comprehensive release laying out detailed rules and requirements for public company disclosures that would address whether their audit committees include financial experts, whether these companies have codes of ethics...
- White papers 2002-10-29
Additional Resources
- SEC expands financial expert definition
- AFTER RECEIVING A BARRAGE OF PROTESTS OVER THE DEFINITION OF FINANCIAL expert in the Sarbanes-Oxley Act (see IMA's letter, p. 35, and Government, p. 24), the Securities & Exchange Commission SEC voted on January 15 to change the term to "audit committee financial expert" and expand the proposed definition beyond...
- Research articles 2003-02-01
- SEC Adds Flexibility to Audit Committee "Financial Expert" Definition
- Many companies already scrambling to understand and comply with the myriad provisions of Sarbanes-Oxley might be able to breathe a little easier now that the Securities and Exchange Commission has broadened its definition on audit committee financial experts. In response to complaints that the proposed definition of "financial expert" was...
- White papers
- Audit Committee Financial Expert & Code Of Ethics Rules
- This article overviews about the issued Release No. 33-8177 by Securities and Exchange Commission the ("Commission") which sets forth final rules for public company disclosures on audit committee financial experts and codes of ethics. In general, the Commission has adopted rules requiring the disclosure of whether a company's audit committee...
- White papers 2003-07-10
- Thinkpath Appoints Financial Expert David M. Barnes to Board of Directors
- Thinkpath Inc. (OTC BB: THPHF) has announced today the election of David M. Barnes to its Board of Directors. David will chair the audit committee of Thinkpath’s board of directors. David is currently Chief Financial Officer of Cyber Defense Systems, Inc. CYDF and American United Global Inc. AUGB...
- Research articles 2005-10-11
- GE's Jack Welch is 'No Winner' Claims Financial Expert; Welch states in ''Winning'' that the 'dirtiest little secret in business is lack of candor.'
- BOSTON -- "The dirtiest little secret in business is not lack of candor as Jack Welch would have us believe. It has everything to with the fact that people don't understand how to impact the bottom line." states financial expert, Carole Symonds. "Analysts, stockbrokers and CEOs alike focus on earnings...
- Research articles 2005-05-03
- Greene County Bancorp, Inc. Expands Board And Appoints 'Audit Committee Financial Expert'
- CATSKILL, N.Y. -- Greene County Bancorp, Inc. (NASDAQ:GCBC) has announced the expansion of its Board of Directors from seven to eight members, and the appointment of Arthur Place, CPA, to its Board of Directors. He has also been appointed to the Company's Audit Committee and has been designated as an...
- Research articles 2004-07-21
- Daniel J. O'Hare Joins Heritage Oaks Bancorp's Board of Directors as Financial Expert
- PASO ROBLES, Calif. -- Heritage Oaks Bancorp (Nasdaq:HEOP), parent company of Heritage Oaks Bank, today announced Daniel J. O'Hare, CPA has joined its Board of Directors. O'Hare, a director at GBP&B, Certified Public Accountants in San Luis Obispo, has also been appointed to the company's audit committee as their financial...
- Research articles 2004-11-23
- Audit Committee Financial Experts
- This audit committee financial experts are brought out from the final rules published by Securities and Exchange Commission requiring each public company board of directors to make a determination as to whether the company has an "audit committee financial expert" serving on its audit committee. If the board determines that...
- White papers 2003-01-01
- SEC Adopts New Rules Governing Determination and Disclosure of Audit Committee Financial Experts
- This paper provides the description of the new rules that if the company has an audit committee financial expert, then the company must disclose the name of the expert and whether the person is independent of management. In determining whether an audit committee member is independent, domestic companies will need...
- White papers 2003-05-30
- Rules Implemented Disclosure of Audit Committee Financial Experts
- The SEC has issued final rules to implement Section 407 of the Sarbanes-Oxley Act of 2002. The rules require every public reporting company, including small business issuers and foreign private issuers, to disclose in their annual reports filed with the SEC: 1. Whether the company has at least one "audit...
- White papers 2003-01-26
- Provisions Concerning Audit Committee Financial Experts and Company Codes of Ethics
- "On January 23, 2003, the SEC issued final rules requiring public companies to disclose whether they have an audit committee financial expert and whether they have a company code of ethics. Given the public policy concern, the SEC decided to make audit committee financial expert disclosure applicable to foreign private...
- White papers 2003-02-01
- Audit Committee Financial Experts and Code of Ethics
- The Sarbanes-Oxley Act directs the Securities and Exchange Commission to adopt rules to require disclosure of whether public companies have a financial expert on their audit committees and whether they have adopted a code of ethics for their senior financial officers. Most companies will be required to provide the new...
- White papers 2003-01-31
- Audit Committee Financial Experts and Code of Ethics.
- As discussed in our prior client advisory memorandum, the Sarbanes-Oxley Act directs the Securities and Exchange Commission to adopt rules to require disclosure of whether public companies have a financial expert on their audit committees and whether they As discussed in our prior client advisory...
- Research articles 2003-02-05
- Open Tel calls for expert report.
- May 22, 2002 The Australian Financial Review ABIX via COMTEX -- Open Telecommunications OpenTel is hoping a financial expert will be able to clean up its accounts and consider the company's viability. The company's managing director, CEO, and chief financial officer all resigned on...
- Research articles 2002-05-22
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