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An Executive’s Guide to Defeating the SOX 304 Clawback (Part 2)

March 27, 2017

By Michael Spafford, Neil Torpey, Amy Carpenter-Holmes & Joanne Joseph

In the first part of this series, we discussed Section 304 of the Sarbanes-Oxley Act of 2002 (SOX) in the context of an SEC investigation of alleged SOX 304 violations. In this second part, we examine the SEC’s burden of proof in SOX 304-related litigation and possible defenses.

This article was originally published in Bloomberg BNA

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Image: Joanne Joseph
Joanne Joseph
Associate, Litigation Department
Image: Michael L Spafford
Michael L Spafford
Partner, Litigation Department
Image: Neil A Torpey
Neil A Torpey
Partner, Corporate Department