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CFTC Announces Whistleblower Award Totaling More Than $2 Million To Company Outsider
On March 4, 2019, the CFTC announced a whistleblower award totaling more than $2 million to a company outsider who contributed information through independent analysis that led to a successful CFTC enforcement action ...
United States
11 Mar 2019
2
False Claims Act: 2018 Year-In-Review
Federal False Claims Act recoveries in fiscal year 2018 amounted to $2.88 billion, down by roughly $600 million from the prior year and dropping below $3 billion for the first time in eight years.
United States
9 Jan 2019
3
SEC Proposes Amendments to the Whistleblower Program
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program).
United States
16 Jul 2018
4
UK House Of Lords Rejects Public Beneficial Ownership Registers For British Overseas Territories
On 17 January 2018, the House of Lords voted against an amendment to the proposed Sanctions and Anti-Money Laundering Bill that sought to create a publicly accessible register of the beneficial ownership...
UK
5 Feb 2018
5
CFTC Increases Anti-Retaliation Protections for Whistleblowers
On May 22, 2017, the Commodity Futures Trading Commission (CFTC or Commission) amended its whistleblower rules to enhance protections for whistleblowers against retaliation and assert its own authority...
United States
25 May 2017
6
2016 CFTC Year-In-Review And A Look Forward
In 2016, the CFTC continued to pursue high-profile enforcement cases and to test its new enforcement authority under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
United States
26 Jan 2017
7
Whistleblowers To Remain Prominent Fixtures In Securities Regulation
The SEC's Dodd-Frank Whistleblower Program provides monetary awards to eligi¬ble individuals who provide the agency with information that leads to an SEC enforce¬ment action...
United States
20 Jan 2017
8
SEC Settles Two More Whistleblower Protection Cases
Continuing its efforts to bring enforcement actions for violations of whistleblower protections, the Securities and Exchange Commission recently settled two more cases.
United States
4 Jan 2017
9
Handling Internal Investigations
Allegations of corporate malfeasance may arise in myriad ways: whistleblowers, current or former employees, internal or external auditors, shareholders, the media, regulatory or law enforcement agencies, and/or the plaintiff 's bar.
United States
22 Nov 2016
10
Money Talks: Should The UK Introduce Financial Incentives For Whistleblowers?
In the years since the financial crisis, the topic of whistleblowing has been high on the public agenda.
UK
15 Nov 2016
11
Four Key SEC Whistleblower Trends — And How Companies Can Prepare For Them
In this article, the authors identify four recent trends in the SEC's whistleblower program: a significant uptick in whistleblower bounties; awards for mid-investigation tips; the more lenient "objectively reasonable" standard for whistleblower protection from retaliation; and a continued focus on confidentiality agreements.
United States
3 Nov 2016
12
SEC Examiners Focus On Investment Adviser And Broker-Dealer Compliance With Whistleblower Rules
The Risk Alert reflects the most comprehensive guidance from the agency to date regarding its expectations for corporate compliance with the Dodd-Frank whistleblower provisions.
United States
2 Nov 2016
13
SEC Whistleblower Protection Efforts Continue In Latest Settlements
The latest cases in a recent string of settled orders by the Securities and Exchange Commission again highlight the agency's resolve to prevent corporate actions that could chill reporting of possible legal violations.
United States
19 Oct 2016
14
New SEC Settlements Show Continued Focus On Whistleblower Protection And Severance Agreements
The Securities and Exchange Commission (SEC) continues to pursue enforcement actions against companies for whistleblower-related violations.
United States
12 Oct 2016
15
SEC Focuses On Severance Agreement Impact On Whistleblowing
The Securities and Exchange Commission remains keenly focused on whether confidentiality provisions in corporate agreements, particularly severance agreements, can impede whistleblower reporting of potential legal violations to the SEC or other government agencies.
United States
30 Aug 2016
16
SEC Settlements Put Severance Agreements Under Increased Scrutiny
The US Securities and Exchange Commission (SEC) recently announced settlements with two companies for using severance agreements that allegedly violated Rule 21F-17.
United States
18 Aug 2016
17
Congress Creates Federal Right of Action for Trade Secret Misappropriation
On May 11, President Obama signed into law the Defend Trade Secrets Act of 2016 (DTSA), which enables companies to go to federal court to sue for misappropriation of trade secrets.
United States
17 May 2016
18
Four Things Companies Should Know About The SEC's 2015 Whistleblower Report
The Securities and Exchange Commission (‘‘SEC'') recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
23 Dec 2015
19
Four Things Companies Should Know About the SEC's 2015 Whistleblower Report
The SEC recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
24 Nov 2015
20
Second Circuit Allows Whistleblower Retaliation Protection Without Reporting To SEC
Since 2011, the federal courts have focused on an inconsistency between two provisions in Section 21F of the Securities Exchange Act of 1934, as modified by Dodd-Frank.
United States
16 Sep 2015
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