By Jaclyn Jaeger2017-04-04T12:15:00
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.
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2018-11-21T12:30:00Z By Jaclyn Jaeger
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.
2026-03-05T20:35:00Z By Neil Hodge
More complaints about compliance are reported to the U.K.’s financial services watchdog than any other kind of potential misconduct, and even if few of them result in investigation or censure, experts believe such reports help inform future supervision and enforcement.
2026-01-19T15:21:00Z By Aaron Nicodemus
Nominations for the 2026 Excellence in Compliance Awards are no longer being accepted. Look for finalists to be announced later in March!
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