The compliance side of the circuit split on whistleblower protections
An ongoing legal dispute over how far whistleblower protections extend beyond Dodd-Frank provisions highlights that best practices are already a few steps ahead of the law.
Related articles
-
Blog
SEC Whisteblower Office has recordbreaking year
Fiscal year 2018 marked a historic year for the Securities and Exchange Commission’s Whistleblower Program both in terms of the dollar amount of whistleblower rewards the agency doled out and the number of tips received, according to the SEC annual report to Congress.
-
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.
-
News BriefNine regulatory initiatives under SEC’s “Project Crypto” aim to redefine crypto market rules
Securities and Exchange Commission Chairman Paul Atkins has launched “Project Crypto,” a major regulatory overhaul aimed at shifting the agency from enforcement to innovation. Atkins’ address outlined as many as nine Commission-wide initiatives to revamp the SEC’s rulebook for the digital finance era.