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BEC Corporate Governance > SOX: Title XI - Corporate Fraud Accountability > Flashcards

SOX: Title XI - Corporate Fraud Accountability Flashcards

1
Q

anyone who alters integrity of, destroys or conceals a document in connection with an official

A

fine and or prison of 20 years

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2
Q

Cease-and-desist procedings

A

SEC may issue order that prohibits person from serving as an officer or director of an issuer

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3
Q

anyone who retaliates against a person who provides truthful information to the SEC

A

fined or prison for up to 10 years.

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BEC Corporate Governance (6 decks)

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