Compliance

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  • Sarbox Rollback Bill Introduced

    Lawmakers have submitted a measure that would partially roll back Section 404 of the Sarbanes-Oxley Act. May 17, 2006

  • Panelist: SEC Deserves Failing Grade

    A diverse final panel results in some testy exchanges as the regulators seek next steps for 404. May 10, 2006

  • Union Lawyer, Midcap CFO Clash on 404

    Workers want strong assurances that all companies have strong controls, while small companies call for a compliance break. May 10, 2006

  • Revise 404 for the Market, Panelists Say

    Panelists applaud the benefits of SOX 404 but suggest disclosure and requirement changes. May 10, 2006

  • More 404 Guidance, Please

    Panelists at the SEC's roundtable request more guidance aimed at helping management, not auditors, cope with Sarbox 404. May 10, 2006

  • Cry of Pain from Small Companies

    Sarbox 404 puts investment in biotech and other small-company sectors in danger, says one panelist. May 10, 2006

  • Material Weakness at the Roundtable

    Opening salvos at the SEC roundtable included talk of better definitions of material weaknesses. May 10, 2006

  • SEC Contemplates Auditorless World

    Former Computer Sciences Corp. CFO says that corporate-compliance efforts would be more effective if they didn't proceed in lock-step with auditor agendas. May 10, 2006

  • Section 404, Year Three: Ready for IT?

    A body of knowledge about information technology and internal controls doesn't exist, say roundtable panelists; companies and auditors haven't developed the practical experience that usually accompanies audits and testing. May 10, 2006

  • Panel: Don't Audit Low-level Risks

    Roundtable participants debated the need for an external audit on controls that pose little risk to financial statements. May 10, 2006

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