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Searching Content indexed under Securities by Roan Lamp ordered by Published Date Descending.
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Remarkable Whistleblower Rejection Of USD 8.25 Million Award
In August 2016, a former risk officer wrote an opinion piece published by the Financial Times explaining his reason for allegedly rejecting a whistleblower award of USD 8.25 million (half of the 16.5 million total).
United States
15 Sep 2016
2
Hear The Whistle! Whistleblower Receives Second-Highest Award Ever
The SEC announced four whistleblowing cases in May and June 2016. The recent announcements show, once again, how whistleblowing continues to be rewarded in the US.
United States
22 Jun 2016
3
SEC Urges Whistleblowers To Report Without Delay
For the first time ever, the Securities and Exchange Commission has issued a lower whistleblower award because the whistleblower, waited too long before reporting the misconduct.
United States
18 Feb 2016
4
Settlements In Brief: Notable Settlements In December 2015
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of these developments, companies are advised to take appropriate measures.
United States
18 Feb 2016
5
2015 Report Shows Further Growth Of SEC Whistleblower Programme
Every year, the Securities and Exchange Commission reports on the results of its whistleblower programme.
United States
14 Dec 2015
6
Settlements In Brief: Notable Settlements In September And October
Enforcement actions by criminal and supervisory authorities are settled regularly.
United States
19 Nov 2015
7
SEC Urges Courts To Extend Retaliation Protection To Internal Whistleblowers
The Securities and Exchange Commission recently issued new guidelines stating that the anti-retaliation provisions in the Dodd-Frank Act should also apply to staff who report misconduct internally.
United States
15 Sep 2015
8
SEC To Pay Highest Possible Whistleblower Award In First Retaliation Case
In the first anti-retaliation case against a New York-based hedge fund advisory firm, the SEC recently announced that the whistleblower at the centre of the case would receive the highest possible award.
United States
12 Jun 2015
9
Caution: Having A Deficient Whistleblowing And Compliance System May Have Consequences
The SEC announced two whistleblowing cases in April 2015. In the first case, the SEC issued a whistleblowing award between USD 1.4 and 1.6 million.
United States
12 May 2015
10
Dutch Government Appears To Tighten Grip On Independent Conduct Supervision
Internal discussions on whether members of the AFM’s supervisory board can hold positions in companies or financial institutions prompted the Minister of Finance to conduct an integrity audit.
Netherlands
13 Feb 2015
11
Settlements In Brief: Recent Cases Show Importance Self-Reporting And Remedial Action
Enforcement action by criminal and supervisory authorities is settled regularly.
United States
13 Feb 2015
12
Court Of Appeal Rules On Disclosure Of Price-Sensitive Information
Supermarket chain Super de Boer should have intervened earlier to avoid possible insider trading. An appeals court recently decided this in proceedings following Jumbo’s takeover of Super de Boer in 2009.
Netherlands
19 Dec 2014
13
Recent AFM Fines: An Important Warning Shot For Financial Undertakings
A number of administrative fines imposed by the AFM were recently published.
Netherlands
19 Dec 2014
14
SEC Sends Strong Message By Awarding USD 30 Million To Overseas Whistleblower
A recent SEC announcement shows the continuing rewarding of whistleblowing in the US.
United States
17 Oct 2014
15
Caution: Obstructing External Whistleblowing Can Have Consequences
Some companies have been experimenting with ways to encourage internal reporting, attempting to avoid the consequences of an SEC whistleblower claim.
United States
18 Jun 2014
16
Settlements In Brief: HP And Marubeni Settle FCPA Violations
Cases on violations of the Foreign Corrupt Practices Act are settled regularly, and we often consider settlements as setting precedents.
United States
19 May 2014
17
Crime May Not Pay, Whistleblowing Does: Additional Payment To First Whistleblower
A recent SEC announcement shows the continuing rewarding of whistleblowing in the US.
United States
19 May 2014
18
AFM Fines
The AFM issued a EUR 2,500 fine to a securities trader on 10 December 2012 for passing on inside information regarding an imminent share issue by a listed company.
Netherlands
6 Mar 2013
19
SEC Charges Founder Of Market Research Firm With Insider Trading
The SEC has charged the owner of Insight Research, a consulting firm that analyzes publicly traded companies for hedge fund managers, with insider trading and violating anti-fraud provisions.
Netherlands
30 Jul 2012
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