Since its enactment in 2002, Sarbanes-Oxley (SOX) has left a large, albeit often controversial, footprint in the world of corporate internal controls. As the compliance world has adjusted to the post-SOX era, businesses and courts have observed a growing need to address the current and future SOX requirements of private companies. This has had particular significance with regards to SOX’s…
Typically, stockbrokers earn commissions each time an investor enters a securities order to buy stock or sell stock. Full-service stockbrokers earn higher commissions than online stockbrokers because, unlike online stockbrokers, full-service stockbrokers provide investors with the added service of advising you when to buy, sell or hold particular investments. Because stockbrokers are paid on commission, there is an inherent conflict…
If you live in Kentucky and are pregnant, planning to become pregnant, or breastfeeding, you should be aware of new protections that may apply to you and your employer. Last month Kentucky passed the Pregnant Workers Act with bipartisan support, making it the 25th state to pass specific legislation to protect pregnant employees. Federal laws already prohibit many employers from discriminating…