Foreign Corrupt Practices and Domestic and Foreign Investment Disclosure: Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-fifth Congress, First Session, on S. 305 ... March 16, 1977
U.S. Government Printing Office, 1977 - 245 páginas
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accounting accounting controls action activities additional agencies amendments American assets Association audit authority banks believe beneficial bill Board Chairman Church Street Station Commission Commission's Committee companies concerning Congress corporate countries course criminal Department direct directors disclosure domestic effective Electric enforcement equity Exchange Act fact Federal filed foreign Fund further Government held Hills holders holdings important improper individual institutional interest internal accounting investment investors involved issue issuer laws legislation Light major March material matter ment Morgan necessary nominees objectives officers owner ownership particular payments percent person position Power practices present problem prohibition proposed pursuant question reasonable records regarding regulations reporting respect response rules Secretary securities Senator Senator Williams shareholders shares specific standards statements stockholders Street suggest tion transactions Trust United Utilities voting York
Página 131 - ... any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Página 24 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 72 - ... (C) if the purpose of the purchases or prospective purchases is to acquire control of the business of the issuer of the securities, any plans or proposals which such persons may have to liquidate such issuer, to sell its assets to or merge it with any other persons, or to make any other major change in its business or corporate structure.
Página 170 - ... (i) transactions are executed in accordance with management's general or specific authorization; (ii) transactions are recorded as necessary (I) to permit preparation of financial statements in conformity with generally accepted accounting principles or any other criteria applicable to such statements, and (II) to maintain accountability for assets...
Página 206 - ... (iii) access to assets is permitted only in accordance with management's general or specific authorization; and "(iv) the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences.
Página 127 - ... any person who willfully and knowingly makes, or causes to be made, any statement in any application, report, or document required to be filed under this title or any rule or regulation thereunder...
Página 131 - That any person who shall neglect or refuse to attend and testify, or to answer any lawful inquiry, or to produce documentary evidence, if in his power to do so, in obedience to the subpoena or lawful requirement of the commission...
Página 208 - ... light of the circumstances under which such statements were made, not misleading to an accountant in connection with (1) any audit or examination of the financial statements of the Issuer required to be made pursuant to this subpart or (2) the preparation or filing of any document or report required to be filed with the Commission pursuant to this subpart or otherwise. (15 USC 78m(b)(2); 15 USC 78m(a), 78m(b)U), 78o(d), 78j(b), 78n(a), 78t(b), 78t(c
Página 131 - Commission, shall be guilty of a misdemeanor and. upon conviction, shall be subject to a fine of not more than $1,000 or to imprisonment for a term of not more than one year, or both.
Página 122 - If so. identify the principals, the subject matter and your relationship to the parties and the outcome. (d) State whether or not. during the past ten years, you have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give dates, nature of conviction, name and location of court, and penalty imposed or other disposition of the case. A negative answer to this subitem need not be included in the Statement or other proxy soliciting material.