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On September 15, 2021, the SEC announced an award of $110 million to a whistleblower, the second highest award in program history following the $114 million award announced in October 2020.

On September 6, the SEC issued awards totaling more than $54 million to two whistleblowers who provided critical information and continued assistance to the agency in an enforcement action.

The Securities and Exchange Commission's (SEC) Office of the Whistleblower (Office) recently released its 2015 Annual Report on the Dodd-Frank Whistleblower Program (Report) (November 16, 2015).

Among a bank board of directors' many obligations is the responsibility to assure the bank complies with Bank Secrecy Act and other anti-money laundering laws and regulations.

The U.S. Commodity Futures Trading Commission (the CFTC) recently made history by announcing the largest payout ever given to a single whistleblower under the Dodd-Frank Program - nearly USD$200 million.

Since 2011, the SEC's Dodd-Frank Whistleblower Program has resulted in tens of thousands of whistleblower tips and over $1 billion in awards to successful whistleblowers.

FY 2021 has proven to be an even more active year than FY 2020 for whistleblower awards from the Securities and Exchange Commission. With more than three months still left in FY 2021, ...

On May 6, 2022, the SEC announced a total award of nearly $3.5 million to four whistleblowers.

This year's update marks the end of the Trump administration and the beginning of the Biden administration. The change in leadership of the Securities and Exchange Commission has already begun

Whistleblower protections and significant bounties paid to whistleblowers in the U.S. continue to make headlines, just as issuers in Canada brace for the impact of the OSC's rollout of its whistleblower program in the coming weeks.

On September 6, 2018, the SEC Office of the Whistleblower awarded $39 million to one whistleblower and $15 million to another.

On Thursday, August 4, 2011, the Commodity Futures Trading Commission adopted final rules implementing the commodity whistleblower incentives and protections of Section 748 of the Dodd-Frank Act.

In separate enforcement actions, the SEC ordered its first two whistleblower awards for 2020.

Citing the success of the Dodd-Frank Whistleblower Program which has operated since 2011 in the United States, the Ontario Securities Commission (the OSC) has proposed a new Whistleblower Program that would reward eligible whistleblowers with up to $1.5 million for information which leads to the prosecution of a serious financial crime.

In 2010, Congress gave the U.S. Securities and Exchange Commission (SEC) the ability to pay monetary awards to whistleblowers whose tips lead to successful enforcement actions.

Companies should consider review of their compliance programs and procedures for addressing internal complaints or tips of potential misconduct.

In a press release on September 23, 2020, the US Securities and Exchange Commission ("SEC" or "Commission"), in a split 3-2 vote, amended its whistleblower program in an effort to further encourage

This Advisory is the fifth in a series concerning environmental, social and governance (ESG) considerations for the financial services industry and other companies.