Summary
Capital One Financial Corporation (COF) has filed an 8-K report on November 14, 2002, primarily to disclose the filing of certifications by its Chief Executive Officer, Mr. Fairbank, and Chief Financial Officer, Mr. Willey. These certifications, required by the Sarbanes-Oxley Act of 2002 (Sections 906 and 302), accompany the company's Quarterly Report on Form 10-Q for the period ended September 30, 2002. The core purpose of this 8-K is procedural, confirming that the company's principal officers have provided assurances regarding the accuracy and completeness of the financial information presented in the latest 10-Q filing. Investors should note that this filing itself does not contain new financial performance data, strategic updates, or material business events, but rather relates to the compliance and integrity of the reporting process following the enactment of the Sarbanes-Oxley Act.
Key Highlights
- 1Filing of Sarbanes-Oxley Act (SOX) Section 906 certifications by CEO and CFO accompanying the Q3 2002 10-Q.
- 2Filing of Sarbanes-Oxley Act (SOX) Section 302 certifications by CEO and CFO accompanying the Q3 2002 10-Q.
- 3Certifications confirm the accuracy and completeness of the Q3 2002 financial statements and disclosures.
- 4This 8-K serves to formally document compliance with new SOX reporting requirements.
- 5The filing does not present new financial results or disclose material business events beyond the SOX compliance aspect.
- 6Information furnished under Item 9 (Regulation FD Disclosure) is not deemed 'filed' for purposes of Section 18 of the Exchange Act.