Compliance with Standards
- Topics:
- Sarbanes Oxley Compliance
- Tags:
- Audit,
- SRO,
- Sarbanes-Oxley Act,
- Sarbanes-Oxley,
- Regulatory Compliance,
- Regulations,
- Quality,
- Policies And Procedures,
- National Security,
- Human Resources,
- ...
- Source:
- Sarbanes-Oxley
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Overview: The section 301-4 is the Discussion - Compliance with Standards Apart from the general requirement to prohibit the listing of a security not in compliance with the enumerated standards, Section 10A(m) of the Exchange Act does not establish specific mechanisms for a national securities exchange or a national securities association to ensure that issuers comply with the standards on an ongoing basis. SROs are required to comply with statutory provisions and Commission rules pertaining to SROs and to enforce their own rules, including rules that govern listing requirements and affect their listed issuers. It explains different Updates to Existing Audit Committee Disclosure, Identification of the Audit Committee in Annual Reports, Audit Committee Financial Expert Disclosure for Foreign Private Issuers etc.
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Format: HTML | Date: Apr 2003 | Pages: 1
