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ARTICLE · 12 FEBRUARY 2014

SEC’s Strategic Plan Includes Reliance On Whistleblower Tips

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The U.S. Securities and Exchange Commission (SEC) published (for public comment) a draft strategic plan, which sets forth its goals and objectives for fiscal years 2014 through 2018.

United StatesEmployment and HR
Steven Pearlman
Steven Pearlman
Harris Mufson
Harris Mufson
Allison Lynn Martin
Allison Lynn Martin
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The U.S. Securities and Exchange Commission (SEC) published (for public comment) a draft strategic plan, which sets forth its goals and objectives for fiscal years 2014 through 2018.  The SEC's "strategic objectives" include: fostering compliance with federal securities laws; ramping-up efforts to "promptly detect and deter violations of federal securities laws"; and prosecuting violations of federal securities laws and holding violators accountable through "appropriate sanctions and remedies."  Embracing the success its Office of the Whistleblower has achieved thus far, the draft plan capitalizes on the use of tips from whistleblowers.

To foster compliance with securities laws, the SEC plans to take a more proactive approach in communicating with chief compliance officers, senior executives and board members about compliance efforts.  To deter and detect securities violations, the SEC intends to:

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