Your search for ‘SEC Whistleblower’ returned 324 results

In what is described as an attempt to provide more clarity to whistleblowers and increase efficiency and transparency, on September 23, 2020, the Securities and Exchange Commission voted to adopt significant amendments.

As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement order) indicates that certain long-standing practices may be contrary to the securities laws.

In pursuit of enforcement, the Securities and Exchange Commission is empowered to award whistleblower bounties to compliance professionals.

In May 2016, the SEC made three announcements that it would make bounty awards totaling nearly $10 million to four whistleblowers.

On March 14, the U.S. Securities and Exchange Commission (SEC) announced charges against 17 individuals allegedly involved in a $300 million crypto asset Ponzi scheme...

On Wednesday, September 23, 2020, the Securities and Exchange Commission approved—on a 3-2 vote—amendments to its whistleblower program.

As we have previously written, the Securities and Exchange Commission ("SEC") has not slowed in its efforts to issue substantial awards to whistleblowers under the SEC whistleblower program created pursuant to Dodd- Frank.

In a unanimous ruling in Digital Realty Trust v. Somers, the U.S. Supreme Court has narrowed whistleblower protections in the Dodd-Frank Act that shield employees who report potential securities law violations.

As SEC Chair Gary Gensler presaged in August 2021, the SEC has announced proposed substantive amendments to two whistleblower program rules – Rules 21F-3 and 21F-6 – to address concerns that the ...

The latest cases in a recent string of settled orders by the Securities and Exchange Commission again highlight the agency's resolve to prevent corporate actions that could chill reporting of possible legal violations.

The Dodd-Frank Act’s new whistleblower provision—which entices would-be whistleblowers who provide "original information" leading to a recovery of $1 million or more in any resulting enforcement action with up to 30 percent of the total amount collected—has become a cause for concern for the architects of corporate compliance programs.

Earlier this week, the SEC announced an enforcement sweep charging seven public companies with violating the whistleblower protections rule in various employment-related agreements.

A recent decision by the U.S. Court of Appeals for the Second Circuit has implications for whistleblowers under the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "The Act").

In its Annual Report to Congress, the SEC Office of the Whistleblower reported that it had another recording-breaking year for both the number of tips received and whistleblower awards paid.

Whistleblowers are often thought of as public company insiders who report alleged wrongdoing like insider trading, market manipulation, submitting false or misleading company disclosures...

Today, the Securities and Exchange Commission (SEC or Commission) voted to approve final rules to implement the SEC whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), enacted by Congress on July 21, 2010.

The Securities and Exchange Commission (SEC) has proposed rules to implement the SEC whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) enacted on July 21, 2010.