Your search for ‘SEC Whistleblower’ returned 324 results

Does your company respond to all internal concerns immediately, investigate them thoroughly and remediate them with unmatchable speed?

To more effectively counter transnational corruption and economic sanctions evasion, recent changes to the U.S. anti-money laundering ("AML") whistleblower regime expand and reinforce...

The Securities and Exchange Commission's (SEC) whistleblower program hit a big milestone, topping $1 billion in awards in less than a decade (it began in 2012).

The SEC has posted its Spring 2022 Reg-Flex agenda and it's crammed with pending and new rulemakings—and they're all going to be proposed or adopted in October! (Ok, admittedly, that's an exaggeration, but not much of one.)

On August 30, 2016, the U.S. Securities and Exchange Commission reaffirmed its commitment to its whistleblower program by issuing the second largest award in its five-year history.

The OCC issued a proposal (the "Proposal") that would amend its regulations relating to preemption of state law and visitorial powers to conform those rules to the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").

Based on the representations in the amended application, in 2012, the SEC granted the manager-of-managers exemptive order.

On September 19, 2023, the CFTC announced whistleblower awards totaling over $15 million to two whistleblowers who provided the CFTC with information...

With no fanfare whatsoever, the U.S. Congress has passed legislation, signed into law by President Obama on May 11, 2016, that could encourage more employees to become SEC, CFTC or false claims act whistleblowers.

The Department of Justice’s Criminal Division launched a powerful new tool in August 2024 with its Corporate Whistleblower Award (CWA) Pilot Program. This was a major move that filled gaps in existing whistleblower award programs, boosted corporate investigations and prosecutions, and opened the door to more monetary awards for whistleblowers.

The Motor Vehicle Safety Whistleblower Program that originally passed through the U.S. Senate last summer but stalled in the House of Representatives has finally been signed into law by President Obama as part of the Fixing America's Surface Transportation Act, a/k/a the FAST Act.

Some companies have been experimenting with ways to encourage internal reporting, attempting to avoid the consequences of an SEC whistleblower claim.

The Supreme Court of the United States has refused to broaden protections for employee-whistleblowers under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).

The SEC's new Fall reg-flex agenda is posted and, no surprise, it's packed. Here is the short-term agenda and here is the long-term version. And just as with the spring agenda, Commissioners Hester Peirce...

We are pleased to present our annual year in review of financial reporting and issuer disclosure enforcement activity for 2016.

This note provides a high-level description of the primary whistleblower legal protections in the United States today.

The Securities and Exchange Commission has established a specialized Financial Reporting and Accounting Unit within its Division of Enforcement, staffed by attorneys and accountants to investigate accounting fraud, financial reporting violations, and auditor misconduct. Led by Timothy Zimmerman under the direction of Enforcement Director David Woodcock...

In re Bofl Holding, Inc. Securities Litigation [PDF], a decision released on October 8, 2020, the U.S. Court of Appeals for the Ninth Circuit (the "Ninth Circuit") concluded that allegations in...