LISTSERV mailing list manager LISTSERV 15.5

Help for RECMGMT-L Archives


RECMGMT-L Archives

RECMGMT-L Archives


View:

Next Message | Previous Message
Next in Topic | Previous in Topic
Next by Same Author | Previous by Same Author
Chronologically | Most Recent First
Proportional Font | Monospaced Font

Options:

Join or Leave RECMGMT-L
Reply | Post New Message
Search Archives


Subject: RAIN 1201 Weekly Update: Legal (14)
From: Peter Kurilecz <[log in to unmask]>
Reply-To:Records Management Program <[log in to unmask]>
Date:Sun, 1 Dec 2002 15:39:07 EST
Content-Type:text/plain
Parts/Attachments:
Parts/Attachments

text/plain (196 lines)


e-doc 11/11/02
The Sarbanes-Oxley Act Didn't Invent Penalties For Destruction of Evidence, 
But It
Did Perfect Them
By Randolph Kahn, ESQ
The Sarbanes-Oxley Act of 2002 was passed in the wake of seemingly endless 
financial scandals involving a number of public companies. The law is a new 
tool for the SEC to regulate publicly traded companies and protect the 
investing public from the actions of unscrupulous executives and accountants. 
Many careers, companies, and billions of dollars later, it is heartening that 
many in the information management community are asking about the impact of 
the Sarbanes-Oxley. So what does the law mean, what are the implications for 
your company, and what can be done to insulate your company from becoming the 
next headline? However, before we answer those questions, let's briefly look 
at the law itself. 
http://www.edocmagazine.com/vault_articles.asp?ID=25260&
header=e_webexclusive_header.gif


Datamation 11/18/02
E-Mail -- A Company's Forensic Nightmare
By Cynthia Flash
Lawyers are having a field day sifting through electronic documents in their 
attempts to unearth evidence of corporate scandals.
http://itmanagement.earthweb.com/netsys/article.php/1502991


New York Times 11/22/02
Regulators Say Morgan Stanley Did Not Keep E-Mail Records
By GRETCHEN MORGENSON
Securities regulators who are investigating the practices of Wall Street 
analysts said that Morgan Stanley, the nation's second-largest brokerage 
firm, failed to maintain internal e-mail records as required by securities 
laws. As a result, several investigators said, there are fewer Morgan Stanley 
documents to analyze than have been produced by some other firms.
http://www.nytimes.com/2002/11/22/business/22WALL.html?

http://www.iht.com/articles/77929.htm


Herald Tribune 11/23/02
Judge: PSC must give auditor e-mails
The Associated Press
The state's utility regulatory panel has been ordered to turn over all of its 
e-mails to the legislative auditor as part of an investigation into the 
agency.
State District Judge Janice Clark ordered that e-mails from the Public 
Service Commission be made available to Legislative Auditor Dan Kyle's office 
on Monday, said Jenifer Schaye, Kyle's attorney.
http://www.heraldtribune.com/apps/pbcs.dll/artic...ate=20021123&Category=APN&
ArtNo=211230689&Ref=AR





The Scientist 11/26/02

Cornell must reveal records

Court finds private school running state research is subject

to freedom of information law. 

http://www.biomedcentral.com/news/20021126/04





Wall Street Journal 11/27/02

Quattrone E-Mails Link

CSFB Research, Banking

By RANDALL SMITH

Staff Reporter of THE WALL STREET JOURNAL

Frank Quattrone, the star technology banker at Credit Suisse First

Boston, personally asked a research analyst who was about to begin

covering a software stock what investment-banking business the firm had

"extracted" in return for the coverage, according to an e-mail between

Mr. Quattrone and the analyst.

http://online.wsj.com/article/0,,SB1038365740664325868-search,00.html?





Naples Daily News 11/27/02

Judge to re-examine restrictions he placed on public access to search warrants

http://www.naplesnews.com/02/11/naples/d865283a.htm





ABCNews 11/28/02

EU-US Law Enforcement Deal Hits Civil Rights Snag

— By Marie-Louise Moller

BRUSSELS (Reuters) - A deal to exchange personal data between EU law 
enforcement agency Europol and U.S. agencies hit a last-minute snag Thursday 
because of European fears over lawsuits and civil rights infringements, 
diplomats said.

http://abcnews.go.com/wire/US/reuters20021128_241.html





The New York Times 11/28/02

The Censor and the Artist: A Murky Border

http://www.nytimes.com/2002/11/26/arts/26CENS.html?





Naples Daily News 11/29/02

Hillsborough school records demanded in federal probe

Associated Press

TAMPA — Federal authorities have asked for Hillsborough County school district

records of a former employee as part of a theft investigation and a grand jury

hearing next month.

A subpoena dated Nov. 21 seeks the personnel file of James McClelland, who

retired in July 2001 after 16 years as the school district's head grounds 
chief.

http://www.naplesnews.com/02/11/florida/d812886a.htm





Bloomberg News 11/29/02

Morgan Stanley Says Key Records Were Lost on Sept. 11, WSJ Says

By Carleste Hughes

New York, Nov. 29 (Bloomberg) -- Morgan Stanley says many of the documents

customers need to argue arbitration cases against the firm were destroyed in 
the Sept. 11 attacks, the Wall Street Journal reported.

Everything from brokerage-commission records to e-mail correspondence were 
lost,

Morgan Stanley said, according to the newspaper.

http://quote.bloomberg.com/fgcgi.cgi?ptitle=Securities%20Firms%20News&
b1=ad_bottom1&br=blk&tp=ad_topright&T=wealthstory.ht&s=APedjbhU9TW9yZ2Fu


Wall Street Journal 11/29/02
Morgan Stanley Faces Questions On Lost Records Its Clients Need
Firm Says Documents Vanished Sept. 11, 2001, Raising Issues About 
Record-Keeping
Systems
http://online.wsj.com/article/0,,SB1038530341917114468-search,00.html?

New York Times 11/30/02
Why Judges Should Make Court Documents Public
http://www.nytimes.com/2002/11/30/opinion/30GILL.html?




Peter A. Kurilecz CRM, CA
[log in to unmask]
Richmond, Va

List archives at http://lists.ufl.edu/archives/recmgmt-l.html
Contact [log in to unmask] for assistance

Back to: Top of Message | Previous Page | Main RECMGMT-L Page

Permalink



LISTS.UFL.EDU

CataList Email List Search Powered by the LISTSERV Email List Manager