Compliance into the Weeds-Episode 30

Compliance into the Weeds-Episode 30

In this episode Matt Kelly and myself take a deep dive into SOX 404(b), what it requires and how companies comply with the reporting requirements set out in this statute. We consider the recent announcements from Congressman Jeb Hensarling to amend this section to exempt companies under the $500MM who wish to go public from its reporting requirements. We consider the corporate and audit response currently in place for 404(b) and how this response is now well embedded in not only corporate controls but also in reporting. We discuss the importance of internal controls over the time frame since the enactment of SOX and how any change may not be well received by institutional investors and private equity funders. For a more detailed discussion, see Matt’s blog post entitled, “Tale of Sound & Fury: The 404(b) Debate”. Learn more about your ad choices. Visit megaphone.fm/adchoices

Episoder(427)

Navigating DOJ's Evolving Self-Disclosure Strategies

Navigating DOJ's Evolving Self-Disclosure Strategies

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore the subject more fully. Looking...

29 Apr 23min

Banking Regulators Cut Model Risk Guidance: Implications for Compliance, Audit, and AML Oversight

Banking Regulators Cut Model Risk Guidance: Implications for Compliance, Audit, and AML Oversight

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully, and looking for ...

22 Apr 23min

Surveying Retaliation Against Compliance Officers

Surveying Retaliation Against Compliance Officers

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some...

15 Apr 17min

Duty Owed vs. Material Nonpublic Information: Prediction Markets and Compliance

Duty Owed vs. Material Nonpublic Information: Prediction Markets and Compliance

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking...

8 Apr 24min

AI-Driven SOC Audits and the Growing Trust Gap

AI-Driven SOC Audits and the Growing Trust Gap

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking...

1 Apr 23min

Balt and TradeStation: Lessons for the Compliance Professional

Balt and TradeStation: Lessons for the Compliance Professional

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some...

25 Mar 27min

McKinsey’s Lilli AI Hack: What It Signals for AI Governance, Security and Disclosure

McKinsey’s Lilli AI Hack: What It Signals for AI Governance, Security and Disclosure

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking...

18 Mar 19min

Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension

Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking...

11 Mar 19min

Populært innen Business og økonomi

stopp-verden
lydartikler-fra-aftenposten
dine-penger-pengeradet
e24-podden
rss-penger-polser-og-politikk
rss-borsmorgen-okonominyhetene
rss-pa-konto
pengesnakk
pengepodden-2
finansredaksjonen
morgenkaffen-med-finansavisen
liberal-halvtime
rss-skravla-gar
utbytte
tid-er-penger-en-podcast-med-peter-warren
stormkast-med-valebrokk-stordalen
livet-pa-veien-med-jan-erik-larssen
rss-markedspuls-2
rss-sunn-okonomi
lederpodden