- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC has published fresh guidance on who qualifies for whistleblower protections under the Dodd-Frank Act, essentially confirming the view that a person is not required to report misconduct to the SEC’s Office of the Whistleblower to qualify for the expanded anti-retaliation protections under the law. Compliance officers should welcome ...
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The SEC’s latest guidance on whistleblower protection, confirming that employees need not report misconduct first to the SEC to win anti-retaliation protections, seems at first glance to be good news for internal compliance programs. For corporations as a whole, less so. Inside, we take a deeper look at the limits ...
Kiromic BioPharma will pay no fine to the Securities and Exchange Commission after self-reporting that it failed to disclose material information about two cancer drugs to investors.
Eight business executives, including the billionaire owner of Indian energy company Adani Group, were charged with fraud for their alleged roles in a multi-million bribery scheme to win a solar energy contract in India.
