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The Filing Cabinet

Joe Mont

"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.

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  • The Filing Cabinet Blog

    SEC Gives Largest Ever Award to Informant: $30 Million

    Joe Mont | September 22, 2014

    The Securities and Exchange Commission has given a $30 million award to an informant whose tips led to a major enforcement action. Beyond its size, the award is notable because it is the fourth award to a whistleblower living in a foreign country. The whistleblower’s delay in coming forward limited the amount he or she could receive, but leniency was granted because initial tips would have pre-dated the creation of its bounty program, the SEC added. More inside.

  • The Filing Cabinet Blog

    SEC Petitioned for Tougher Whistleblower Protections

    Joe Mont | July 21, 2014

    A coalition of whistleblower advocates has petitioned the Securities and Exchange Commission, asking that new language be added to existing whistleblower rules to address “unscrupulous legal maneuvers,” including: preventing employees from consulting independent legal counsel, requiring notice of external reporting, demanding waivers of any future whistleblower awards, and threatening lawsuits to enforce secrecy agreements.

     

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