Your search for ‘SEC Whistleblower’ returned 324 results

Sometimes it is too easy for lawyers and commentators to opine about the law and avoid the real life implications of those laws as applied to individuals.

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.

In her remarks to the American Bar Association's National Institute on White Collar Crime, Deputy Attorney General (DAG) Lisa Monaco outlined the forthcoming...

It has always been a challenge for capital market enforcers to muster sufficient information about potential market wrong-doing.

The Dodd Frank Act’s whistleblower provisions make it possible for an individual with "original information" regarding violations of the securities laws to submit it to the SEC and receive up to 30% of the monetary penalties in the event the SEC or certain other government enforcement agencies bring a successful case based on that information and the penalties exceed one million dollars.

South Korea is quietly running one of the most aggressive whistleblower reward programs, and in 2024 and 2026, it removed the ceiling on what whistleblowers can earn. Established in 1951, Korea’s tax whistleblower framework predates every major U.S. whistleblower program by decades.

On August 1, 2024, the Department of Justice's Criminal Division (DOJ) launched its highly anticipated whistleblower awards program.

The first half of 2019 has seen a continuation of the Commission's emphasis on protecting the interests of Main Street investors

Last week a former executive of the Swiss bank Julius Baer, who worked for years in the Cayman Islands, handed over detailed financial information for 2,000 individuals and corporations to the controversial whistleblower organization WikiLeaks.

The cease-and-desist orders entered in August 2016 by the US SEC demonstrate the SEC's increased scrutiny of confidentiality and release provisions contained in severance and other employment-related agreements.

For the last several months many "stakeholders" in the Dodd-Frank Act have been cautiously waiting to see if the "other shoe" will drop, in the form of changes to that law initiated by the Trump Administration...

Companies cannot prohibit their former employees from collecting whistleblower awards, says the DOL in a recently released memo.

The Securities and Exchange Commission’s new whistleblower rules became effective on Aug. 12, 2011. With the new rules, the SEC launched a new webpage for people to report violations of the federal securities laws and apply for a financial reward.

In his first speech as Director of the UK Serious Fraud Office, Nick Ephgrave last month expressed provisional support for financial incentives to whistleblowers in cases alleging significant economic

On July 21, in S.E.C. v. Collector's Coffee, Inc. et al., a New York federal court held that a Securities and Exchange Commission (SEC or Commission) whistleblower protection rule...

Last week, the Department of Justice (DOJ) announced the largest deferred prosecution agreement for violations of the Arms Export Control Act (AECA), ...

The recent payment of $50 million to a pair of whistleblowers should serve as a wake-up call to companies that the SEC's Whistleblower Program is alive and well.

To learn more about this remarkable offer from the United States treasury do some quick Internet research on the FCPA, the "Foreign Corrupt Practices Act."