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U.S. \

Author: LiuLing
Tutor: DengRuiPing
School: Southwest University of Political Science
Course: International Law
Keywords: Sarbanes-Oxley Act Information Disclosure Governance of Listed Companies Securities Regulation
CLC: DD912.28
Type: Master's thesis
Year: 2008
Downloads: 540
Quote: 2
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Abstract


\WorldCom and other large companies shaking financial fraud cases have been made. The law is following the United States in 1933, \, the company and its responsible person liability, the SEC claimed, accounting, regulatory and other aspects of the industry, its effectiveness in covering the registration under the Securities and Exchange Commission about 14,000 companies, including a large number of non-US companies, and on the world economy had a significant impact. In addition to the introduction and conclusion, this article is divided into five parts. In reviewing the introduction of large companies such as Enron financial fraud cases also pointed out that the situation of the \The first part of the information disclosure system by clarifying the meaning and the analysis of the United States' Securities Act of 1933, \several securities law changes, which discusses the information disclosure rules of the U.S. Securities Act of history, as \I believe that the information disclosure rules experienced four important legislative process, gradually showing clarity and strengthening trend. The second section provides a brief overview of seven aspects of the \In the analysis on the basis of the main content, the author describes the \Disclosure range expansion, diversification of checks and balances, securities regulators and other responsibilities of the trend for the U.S. to strengthen corporate governance and securities regulators to bring the actual and potential impact. The third part of the in-depth \the Listed Company Information Disclosure Act Rules are discussed and evaluated. I believe that the bill Public Company Accounting Oversight Board was established, marking the U.S. government intervene in regulatory management of the CPA profession, ending the U.S. CPA industry self-regulation. Meanwhile, the Securities and Exchange Commission by strengthening the powers, giving it a more important regulatory functions for the implementation of the bill, the capital market norms and sound information disclosure system, play an extremely important role. The fourth part of the other provisions of the bill in the main third party information disclosure, which registered accountants, auditors, securities professionals, lawyers and the company's management information disclosure obligations to elaborate. The author designed by the Act of Independence of Certified Public Accountants, securities professionals and lawyers professional liability, management liability and codes of ethics and other aspects of discourse, emphasizing the \The detailed provisions of the consequences of non-compliance and innovation, as well as corporate governance and information disclosure for real problems responded positively. The fifth part in the analysis of \challenge and an opportunity. Then I learned from the governance structure of listed companies, securities law regulation and supervision of the CPA profession aspects discussed \Perfecting the corresponding system of the building.

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