All Government articles
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ArticleSEC awards $31M to whistleblowers in 2 separate cases
The Securities and Exchange Commission announced more than $31 million in whistleblower awards related to two orders, with the largest share of $27 million split between two claimants in one case.
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James Comey: Lessons from Enron era will ‘become real again’
Former FBI Director James Comey kicked off Compliance Week’s 16th annual National Conference on Tuesday by speaking candidly about a variety of risk and compliance matters, including the importance of a strong ethical culture in the coming post-pandemic “boom times.”
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SEC awards $22M to two whistleblowers in contentious case
Two whistleblowers sought to undermine each other in vying for the majority of a $22 million award issued by the SEC regarding malfeasance reported at a financial services firm.
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Michael Hsu named acting OCC head
Michael Hsu, a regulator at the Federal Reserve, has been named acting comptroller of the currency by U.S. Treasury Secretary Janet Yellen.
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GameStop fallout: SEC’s Gary Gensler eyes reducing stock settlement period
New SEC Chairman Gary Gensler discussed shortening the settlement period for trades and requiring new disclosures by broker-dealers as part of testimony before Congress regarding this year’s GameStop stock surge.
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DOJ FCPA head Christopher Cestaro to depart for WilmerHale
Christopher Cestaro, chief of the Justice Department’s FCPA Unit, is set to depart the agency for a partner position with law firm WilmerHale.
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New SEC enforcement head Alex Oh resigns for personal reasons
Alex Oh resigned as head of the Securities and Exchange Commission’s Enforcement Division for personal reasons after less than one full week on the job.
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Supreme Court limits FTC’s power to recoup ill-gotten gains
The Supreme Court ruled the Federal Trade Commission cannot seek to recover funds unlawfully obtained by individuals and companies resulting from violations of consumer protection laws.
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SEC appoints Alex Oh to lead Enforcement Division
The Securities and Exchange Commission has named Alex Oh to lead an Enforcement Division expected to be more aggressive under new Chair Gary Gensler.
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Regulatory leadership status check: FTC nominee key to relieving backlog
With President Joe Biden’s picks to lead the Justice Department, Treasury Department, and SEC confirmed and sworn in, we check in on where other key regulatory agencies stand.
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Senate confirms Lisa Monaco as deputy attorney general
President Joe Biden’s nomination of Lisa Monaco to be deputy attorney general of the United States was confirmed by the Senate on Tuesday.
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Senate extends Gary Gensler’s SEC term to 2026
The Senate voted Tuesday to extend Gary Gensler’s term as chair of the Securities and Exchange Commission through 2026, cementing his control of the top regulator of U.S. financial markets.
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Compliance involvement crucial to consistent ESG disclosures, SEC says
SEC examiners are focusing on whether registered firms’ ESG disclosures align with their investment practices.
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U.S. sanctions Russia over SolarWinds hack
The Treasury Department announced sanctions against Russia implemented under an executive order from President Joe Biden in response to the SolarWinds hack and alleged election interference by the country.
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SEC awards $50M to two whistleblowers in second-largest payout
A pair of tipsters were awarded over $50 million by the SEC in the agency’s second-largest payout under its successful whistleblower program.
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Senate confirms Gary Gensler as SEC chairman
The Senate on Wednesday confirmed the nomination of Gary Gensler to replace Jay Clayton as chairman of the Securities and Exchange Commission. Aaron Nicodemus explores what it means for ESG, cryptocurrency, and more.
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FTC gearing up for aggressive oversight of antitrust, M&A
With a changing of the guard, the Federal Trade Commission is undergoing some major restructuring on the antitrust front. All told, it’s not just Big Tech and pharmaceutical companies that should be on alert.
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Ex-PCAOB risk officer files lawsuit alleging harassment, discrimination
The former chief risk officer of the PCAOB says she was subjected to a campaign of harassment and discrimination before she was unlawfully fired last year.
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Biden to nominate former CCO to lead DOJ’s Criminal Division
President Joe Biden will nominate Kenneth Polite as assistant attorney general to lead the Department of Justice’s Criminal Division. Polite previously worked as chief compliance officer at Fortune 500 electric power company Entergy.
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SEC whistleblower head Jane Norberg to depart
The head of the Securities and Exchange Commission’s whistleblower program, Jane Norberg, will leave her post later this month.
