A Conversation on Sarbanes-Oxley

Sandy Swartzberg presents in his down to earth style in "A Conversation on Sarbanes-Oxley". Rick Moon inquires on the deeper details of Sandy’s wealth of knowledge.

Although Sarbanes-Oxley may not apply to all businesses or institutions, Sandy talks about how following Sarbanes-Oxley can bring benefits to everyone. He also discusses some of the common pitfalls that your board may encounter in its every day workings as well as board composition and duties.

Covered Topics

  • Provisions to Consider
  • Duties of the Board
  • Board Meetings
  • Application to Community Banks
  • How the Principals Protect Directors
  • Criminal Liability
  • Chairman Responsibilities
  • Independent Verification
  • Independent Agents