Seeking lawyer comments for trade pub article 315

  • Would any lawyers like to weigh in on how Sarbanes-Oxley interacts with the recent insurance broker scandals (esp. in medical/disability/life, rather than P_and_C) and with emerging scandals in 401(k) and other pension fund management?
    Corporate employee benefits managers appear to be most concerned by the connection, and some are doing audits to ensure their broker and consultant contracts don’t run afoul of Sarbanes-Oxley.
    Would the type of disclosure practices now discussed by professional associations and in proposed legislation support 1) full, and 2) efficient compliance with Sarbanes-oxley?
    Contact me at
    My deadline: next Tuesday, Dec. 21.

Log in to reply