Sarbanes-Oxley Act: Compliance And Enforcement Trends

The Sarbanes-Oxley Act was enacted in 2002 by Congress in response to the major corporate, accounting and document destruction scandals that rocked the stock markets recently. To restore investor confidence, the act establishes a framework for corporate accountability, including strict new standards and penalties for violations in the areas of corporate governance, disclosures, audits, financial reporting and conflicts of interest. This seminar will review the act's requirements and penalties, give practical solutions to assist in compliance with the act and the standards it has set for management, accountants and directors based on 3 ½ years of experience working with the act.

Seminar highlights:

• Recent developments and insights from SEC, Department of Justice, and NASDAQ experienced attorneys and accountants
• Navigating the Sarbanes-Oxley Act
• Understanding the dynamics of government and self-regulatory enforcement and regulatory practices under Sarbanes-Oxley
• How to cope with practical compliance issues
• Internal investigations under Sarbanes-Oxley

Learning objectives:

• The attendee will be able to discuss recent enforcement cases.
• The attendee will be able to identify who is regulated under Sarbanes-Oxley.
• The attendee will be able to review SEC, criminal and PCAOB enforcement.

Crowell & Moring Participant:

Tom Hanusik will be participating in this one-day seminar is designed for CFOs, controllers, CPAs, attorneys, finance managers, presidents, vice presidents, tax managers, business owners, managers, auditors and bankers.