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White Collar Crime
By Kathryn Keneally
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White-Collar Crime columns.
The Sarbanes-Oxley Act: An overview
for defense lawyers
The Sarbanes-Oxley Act of 2002
("Sarbanes-Oxley" or the "Act") made major changes to the
securities laws, imposed a new regime over accounting firms that audit public
companies, created new criminal statutes and made significant amendments to
existing criminal statutes. Through implementing regulations, Sarbanes-Oxley
will bring about even more change, including the delineation of new standards
for attorneys practicing before the Securities and Exchange Commission (SEC).
This column is, almost obviously,
only the first that will address issues under Sarbanes-Oxley in this space.
Some of the provisions of Sarbanes-Oxley have merit, while other provisions
reflect at best misguided intentions and overreaching. Much of the
implementation of Sarbanes-Oxley is left to regulation. The Act imposed
stringent deadlines, and some of the required regulation has already been put
in place and more is in proposed form.1 Comments on t
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