Business Insurance reported late last week that the Securities and Exchange Commission will award $5-6 million to a whistleblower who provided information on securities violations that would have been “nearly
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Whistleblowers
SEC: Confidentiality Agreements Cannot Impede Whistleblowers
The SEC’s Office of the Whistleblower’s top priority going into 2016 will be to assess company confidentiality agreements for compliance with Rule 21-F-17(a). Rule 21F-17(a) provides that no person may…
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Whistleblower Tips Rise Again in 2015
The Securities and Exchange Commission released its 2015 Annual Report on its Whistleblower Program this week and announced another rise in the number of whistleblower tips that it received. The…
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What Does The “E” In Email Mean Redux
I recently blogged about the meaning of the “E” in email. For a further discussion of the dangers associated with email, you can listen to this podcast. The…
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The SEC Cracks Down on Anti-Whistleblower Agreements
Around this time last year, the Securities and Exchange Commission’s Office of the Whistleblower warned lawyers that they may be disciplined for drafting contracts to incentivize whistleblowers to not…
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Forget Including A Bar Of Whistleblower Tips In Settlement Agreements
FINRA recently warned that firms could face disciplinary action if they enter into settlement agreements that bar customers or former employees from reporting wrongdoing at the firm. Although FINRA recognized …
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What To Expect In 2014 From The SEC’s Enforcement Division
Now that 2014 is here, it is a good idea to understand what the Enforcement Division might focus on this year. In a recent article that appeared in the BNA, …
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You Can Blow the Whistle too According to the SEC
The SEC’s Division of Enforcement is performing well according to its departing director.
The soon to be ex-Enforcement Director credits this strength to his re-organization of the Division based on…
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Whistleling While You Work Seems to Be Helping the SEC
The SEC’s Whistleblower Office received 3,001 tips last year, involving a number of different areas and from all over the United States and the world.
The SEC views the program as…
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The SEC is Watching You … Informant Retaliation Seems to Be on the Rise
The SEC is strongly reviewing if corporations are ensuring that informants are protected.
The SEC will not permit a retaliation. The SEC is seeking to determine if corporations are retailing against individual…
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