Tags » Sarbanes-Oxley Act

The OSC has introduced steps to help recover funds for wronged investors, but are they enough?

Canadian regulators will tell you they have been making progress by securing new measures to recover funds for investors who lose money to dubious schemes and malfeasance in the capital markets. 1,381 more words

FP Street

Big Fish

One of the Supreme Court’s most interesting cases involves a fisherman and some undersized grouper. 2,160 more words


Life update: I'm writing about tech for a living

It’s been a while since I posted here and there’s a good reason why: my new job has me covering technology.

That’s right. Here are a few of my recent pieces: 51 more words


External controls help mitigate risks from overconfident CEOs: study

Rob Swystun, Pristine Advisers

Although you’ve no doubt heard that everyone loves confidence (it’s the basis of most sex appeal, after all), there is such a thing as overconfidence, which can be a turn off … er, a bad thing. 577 more words

Board Of Directors

Auditors: Walking Through the Minefield


The large-scale accounting scandal which happened in the United States several years ago had drawn worldwide attention to the issue of auditor independence. The Enron case, which involved one of the biggest accounting firms, Arthur Andersen, has opened an important debate about the reputation of accountants. 1,695 more words


The Role of Risk Management in European Banking Integration

Europe is now engaged in an experiment unprecedented in world history: can independent nations – even if linked by significant legal, economic, and social ties – merge their financial systems into a true banking union?  801 more words

Corporate Governance

SOX and Fish: What the Supreme Court Missed in Yates v. United States

By now, much of the dust has settled around the Supreme Court’s decision in Yates v. United States.[1] Yates was the odd case of a commercial fisherman convicted of violating 18 U.S.C. 1,734 more words

Corporate Governance