Summary
This 8-K filing from Capital One Financial Corporation (COF) primarily concerns the disclosure of certifications related to their 2002 Annual Report on Form 10-K, as mandated by the Sarbanes-Oxley Act of 2002 (SOX). The report states that the CEO, Richard D. Fairbank, and CFO, David R. Lawson, have provided certifications under both Section 906 and Section 302 of SOX. These certifications attest to the accuracy of the financial statements and disclosures contained within the Form 10-K. Investors should note that this filing itself is for disclosure purposes under Regulation FD and does not introduce new financial performance data. The key takeaway is Capital One's adherence to new SOX compliance requirements following its enactment.
Key Highlights
- 1Capital One Financial Corporation filed an 8-K on March 17, 2003, concerning its 2002 Form 10-K.
- 2The filing includes certifications from CEO Richard D. Fairbank and CFO David R. Lawson.
- 3Certifications were made pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
- 4Certifications were also made pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 and SEC Rule 13a-14.
- 5These certifications relate to the accuracy of the Company's Annual Report on Form 10-K for the year ended December 31, 2002.
- 6The information furnished under Item 9 is not deemed "filed" for certain liability purposes under the Securities Exchange Act of 1934.
- 7This report confirms Capital One's compliance with the new CEO/CFO certification requirements under SOX.