SEC Confirms Expansive View on Whistleblower Protections
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 Current State of SEC Whistleblower Guidance
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 ...
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Basic PageSEC taps military judge as Enforcement Division Director
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
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News BriefSEC charges duo in $275 million water vending machine Ponzi scheme
The owner of a water machine vending company and a portfolio manager were allegedly behind a Ponzi-like scheme that raised more than $275 million, according to the U.S. Securities and Exchange Commission.