SEC introduces whistleblower 'pretaliation' to financial firm exams
The Securities and Exchange Commission's hunt for whistleblower “pretaliation” will now be a part of its nationwide examination and inspection program for financial firms.
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Companies twist and abuse non-disclosure agreements
Companies that use NDAs, traditionally intended to protect intellectual property and trade secrets, as a form of “pretaliation” are courting danger.
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An inside look at the SEC Office of the Whistleblower
Jaclyn Jaeger talks with Sean McKessy, who served as first-ever chief of the SEC’s Office of the Whistleblower, about the Whistleblower Program, his time at the SEC, and how companies could improve their whistleblower programs.
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WebcastOct 14 | CPE Webcast: Navigating Evolving Banking Regulations in the U.S. and Canada
U.S. Banking regulators have moved to loosen traditional regulation and supervision in areas like capital requirements, stress testing and liquidity, while also being more receptive to innovation in areas including Artificial Intelligence and digital assets.