New York AG Proposes Whistleblower Reward Program
Image: New York Attorney General Eric Schneiderman will soon propose legislation to protect and reward employees who report fraud in the banking, insurance, and financial services industries. The bill will also provide whistleblowers protection from retaliation. “This law will be the strongest, most comprehensive in the nation and is long ...
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Appellate Court Ruling Leaves Compliance Officers Whistling in the Dark
Image: The recent appellate court ruling to expand Dodd-Frank whistleblower protections again, even to those who don’t report misconduct to the SEC, does no favors for companies trying to find the right policies for anti-retaliation. Ken Gage, head of the whistleblower defense practice at law firm Paul Hastings, says the ...
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News BriefSEC exam priorities for 2026 signal heightened focus on firmwide compliance
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
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ArticleSan Francisco firm pays $11.4M for alleged Russia-related sanctions violations
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.