Whistleblower Program

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, ...

This is the first SEC enforcement settlement in a case charging retaliation against a whistleblower. The SEC eventually awarded the unidentified whistleblower $600,000.

O'Malia suggests the CFTC automate its tips and complaints intake function or invest in enhanced market surveillance and risk analytics system.

One result of a new U.S. Supreme Court ruling affecting investment advisers may be more whistleblowers turning to the compliance department to report their complaints.Last ...

While it may sound impressive that the SEC's Office of the Whistleblower paid out more than $14 million in awards in FY 2013, consider that ...

It could be a contest without a winner. The SEC trumpeted the second award to come out of its whistleblower office but the agency first ...