Whistleblower Program

The number and dollar amount of whistleblower awards in fiscal year 2014 made the year an “historic” one for the SEC’s Office of the Whistleblower. ...

Click here to open a Word file that is an example of policies and procedures for the SEC's whistleblower rule. These come with permission of ...

A record 755 enforcement actions filed in 2014 has SEC Enforcement Director Andrew Ceresney deeming FY 2014 “a banner year for the Enforcement Division.” His division handled twice ...

First, the SEC announced the inaugural whistleblower award to a compliance officer (IA Watch, Sept. 5, 2014). Now, the agency unveiled last week its largest ...

You may have missed it, given that the SEC picked the day before the big Labor Day weekend to announce its first whistleblower award to ...

Dodd-Frank’s anti-retaliation whistleblower provision doesn’t apply abroad, a court of appeals has ruled. This month, the 2nd U.S. Circuit Court of Appeals in New York ...

(a) DEFINITIONS.—In this section the following definitions shall apply: (1) COVERED JUDICIAL OR ADMINISTRATIVE ACTION.—The term ‘‘covered judicial or administrative action’’ means any judicial or ...

They were the words that jolted the private equity industry. SEC official David Blass spoke in April 2013, warning private equity fund advisers that transaction-based ...

Listening and taking seriously allegations by an internal whistleblower will serve a firm far better than any efforts at retaliation (see related story), say experts. ...

More than two years after the SEC warned it has the power to go after firms for striking back at whistleblowers (IA Watch, March 19, ...