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JSOX - New Legislative Framework for Investor Protection - Financial Instruments and Exchange L ....

  • Industry: SOX Compliance

In recent years, the environment surrounding Japan's financial and capital markets has been changing drastically. In order to respond to these changing situations, the bills to develop the legislative framework for financial instruments and exchange were approved in the ordinary Diet session in June 2006.

Sarbanes- Oxley Act of 2002

  • Industry: SOX Compliance

The Sarbanes–Oxley Act of 2002 also known as the 'Public Company Accounting Reform and Investor Protection Act' and 'Corporate and Auditing Accountability and Responsibility Act' and commonly called Sarbanes–Oxley, Sarbox or SOX, is a United States federal law enacted on July 30, 2002. It is named after sponsors U.S. Senator Paul Sarbanes (D-MD) and U.S. Representative Michael G. Oxley (R-OH).

Effective Date: The Act was enacted July 30, 2002

Canadian Response to the U.S. Sarbanes –Oxley Act of 2002: New Directions for Corporate Governa ....

  • Industry: SOX Compliance

This paper discusses the Canadian response to the US SOX Act of 2002 and the related rules adopted by the U.S. exchange and securities regulators.
 

CSA Notice 52-313 - Status of Proposed MI 52-111 Reporting on Internal Control over Financial R ....

  • Industry: SOX Compliance

The securities regulatory authorities in all Canadian jurisdictions are issuing this notice to update market participants on the status of our deliberations on proposed internal control reporting requirements.

After extensive review and consultation and in view of the delays and the debate underway in the US over the rules implementing section 404 of the Sarbanes-Oxley Act of 2002 (the Sox 404 Rules), we have determined not to proceed with proposed Multilateral Instrument 52-111 Reporting on Internal Control over Financial Reporting (Proposed MI 52-111).

 

Keeping the Promise for a Strong Economy Act (Budget Measures), 2002

  • Industry: SOX Compliance

The Bill implements measures contained in the 2002 Budget and other initiatives of the Government. The legislation encompasses many areas. It is perhaps best known for clauses that provide equivalent legislation to the U.S. Sarbanes-Oxley Act to protect investors by improving the accuracy and reliability of corporate disclosures. Thus, it is also known as the "Canadian Sarbanes-Oxley" Act or C-SOX.



 

Maximum Civil Money Penalty Amounts and Compliance With the Federal Civil Penalties Inflation A ....

  • Industry: SOX Compliance

The Food and Drug Administration (FDA) is confirming the effective date of March 27, 2009, for the direct final rule that appeared in the Federal Register of November 12, 2008 (73 FR 66750). The direct final rule amends the agency’s regulations to update the statutory citations regarding the new civil monetary penalties prescribed by the Food and Drug Administration Amendments Act of 2007 (FDAAA), amends the regulations to include the new FDAAA penalties, and adjusts the preceding maximum civil penalty amounts for inflation as prescribed by the Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA). This document confirms the effective date of the direct final rule

TECHNICAL AMENDMENT; INTERNAL CONTROL OVER FINANCIAL REPORTING IN EXCHANGE ACT PERIODIC REPORTS ....

  • Industry: SOX Compliance

We are extending the effectiveness of § 210.2-02T published in 71 FR 47059 (August 15, 2006) and § 229.308T published in 71 FR 76595 (December 21, 2006) and amended in 73 FR 38099 (July 2, 2008) through June 30, 2010. The effective dates for the other sections of the July 2, 2008 document remain as published.

 


Effective Date:This rule is effective  June 30, 2009.

Final Model Privacy Form under the Gramm-Leach-Bliley Act

  • Industry: SOX Compliance

The OCC, Board, FDIC, OTS, NCUA, FTC, CFTC, and SEC (the “Agencies”) are publishing final amendments to their rules that implement the privacy provisions of Subtitle A of Title V of the Gramm-Leach-Bliley Act (“GLB Act”). These rules require financial institutions to provide initial and annual privacy notices to their customers. Pursuant to Section 728 of the Financial Services Regulatory Relief Act of 2006 (“Regulatory Relief Act” or “Act”), the Agencies are adopting a model privacy form that financial institutions may rely on as a safe harbor to provide disclosures under the privacy rules. In addition, the Agencies other than the SEC are eliminating the safe harbor permitted for notices based on the Sample Clauses currently contained in the privacy rules if the notice is provided after December 31, 2010. Similarly, the SEC is eliminating the guidance associated with the use of notices based on the Sample Clauses in its privacy rule if the notice is provided after December 31, 2010.

Effective Date:This rule is effective  January 1, 2012.


 

DISCLOSURE REQUIRED BY SECTIONS 406 AND 407 OF THE SARBANES-OXLEY ACT OF 2002; CORRECTION

  • Industry: SOX Compliance

We are making technical corrections to rules adopted in Release No. 33-8177 (January 23, 2003), which were published in the Federal Register on January 31, 2003 (68 FR 5110). The rules implement Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 by requiring disclosures regarding audit committee financial experts and codes of ethics. This document amends an instruction to the rule to clarify that disclosures regarding audit committee financial experts are required only in annual reports.

 

EFFECTIVE DATE: March 31, 2003

Filing Guidance Related To: Conditions for Use of Non-GAAP Financial Measures; and Insider Trad ....

  • Industry: SOX Compliance

The Securities and Exchange Commission is issuing interim guidance regarding the filing of information pursuant to new Items 11 and 12 of Form 8-K. Item 11 requires a registrant to provide public notice of a pension fund blackout period. Final rules related to this disclosure item were published in the Federal Register on January 28, 2003 (68 FR 4337). Item 12 requires a registrant to furnish specified disclosure when the registrant, or any person acting on its behalf, makes any public announcement or release disclosing material non-public information regarding the registrant's results of operations or financial condition for a completed quarterly or annual fiscal period. Final rules related to this disclosure item were published in the Federal Register on January 30, 2003 (68 FR 4819).

EFFECTIVE DATE: March 28, 2003

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