Whistleblower Program

Last week, we alerted you to a new sweep exam by OCIE that digs into firms’ whistleblower policies (IA Watch, June 18, 2015). IA Watch ...

This is a copy of a 2015 OCIE sweep exam document request letter that focused on whistleblower programs and confidentiality agreements.

As the four-year anniversary of the formation of the SEC’s Office of the Whistleblower approaches, SEC Chair Mary Jo White is declaring its awards program ...

The SEC’s first-ever anti-retaliation whistleblower case has now yielded a “maximum” award payment of $600,000 for the head trader at a hedge fund adviser that ...

Let me say a bit more about company compliance programs. When the Commission was considering its whistleblower rules, concerns were raised about undermining companies’ internal ...

If you harbored any doubt that compliance staff can qualify for an SEC whistleblower award, remove it (IA Watch, March 26, 2012). Last week, the ...

TPG Capital was sued on Thursday by its former head of public affairs, who accused the private equity giant of ignoring his warnings that the ...

Two years ago we warned against the use of confidentiality agreements that prevent whistleblowers from going to the SEC (IA Watch, May 13, 2013). Last ...

A common best practice for dealing with the SEC’s whistleblower rule is to offer a hotline for anonymous reporting (IA Watch, June 4, 2012). IA ...

Five years after Congress approved an expanded whistleblower program for the SEC (IA Watch, Nov. 15, 2015), a fundamental question remains unresolved with increasing signs ...