Your search for ‘SEC Whistleblower’ returned 324 results

Following a trend of rising whistleblower tips and awards, the Ontario Securities Commission (the "OSC") recently sent another strong signal to whistleblowers that "timely, specific and credible"...

As you have likely heard by now, the US Securities and Exchange Commission (SEC) has been targeting companies that require departing employees, as a condition to receiving severance benefits...

As we discussed in a post last month, the SEC has been closely scrutinizing whether companies may be using non-disclosure and confidentiality agreements that could discourage employees from acting as whistleblowers.

Large fines have recently been imposed against public companies due to using confidentiality provisions that violate whistleblower provisions under federal securities law.

One area where SEC Enforcement appears to have focused its attention recently is whistleblower protections. In this Order against CBRE, Inc., the SEC brought settled charges against the commercial...

On August 1, 2024, the U.S. Department of Justice (DOJ) released details about its new Corporate Whistleblower Awards Pilot Program.

Federal law creates several whistleblower programs that offer financial rewards for reporting fraud and other misconduct.

The British Columbia Securities Commission (BCSC) has introduced a new Whistleblower Program to incentivize future whistleblowers to come forward by offering monetary rewards...

Earlier this month, the DOJ officially unveiled its corporate whistleblower awards pilot program, which is designed to encourage and incentivize both individual whistleblowers and companies...

With the twelfth anniversary of the Sarbanes Oxley Act of 2002 approaching, the SEC has been involved in several SOX-related enforcement actions recently.

On June 23, 2021, the US Securities and Exchange Commission (SEC or Commission) announced settled charges against broker-dealer Guggenheim Securities, LLC (Guggenheim) for violations...

In August of 2014 the SEC announced a modest whistleblower award of $300,000 to an unnamed company employee.

On February 6, the SEC filed its third amicus brief defending its interpretive rule on Dodd-Frank’s anti-retaliation provision, 15 U.S.C. §78u-6(h)(1).

The SEC has announced its fiscal 2022 Enforcement stats, which hit new records. According to the press release, during the year, the SEC filed 760 total enforcement actions...

On January 12, 2017, the staff of the Office of Compliance Inspections and Examinations of the SEC released its annual announcement on examination priorities in the coming calendar year.

The Obama administration will seek to remove the $1.6 million cap on rewards to whistleblowers who provide evidence of criminal conduct under FIRREA.

On July 21, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Financial Reform Act), which includes new whistleblower protections that could potentially increase reporting of alleged Foreign Corrupt Practices Act (FCPA) violations.