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Searching Content indexed under Corporate/Commercial Law by Noa Baddish ordered by Published Date Descending.
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First SEC Whistleblower Award To Former Company Officer
The SEC announced an expected award of $475,000 to $575,000 to a former company officer "who reported original, high-quality information about a securities fraud that resulted in an SEC enforcement action with sanctions exceeding $1 million."
United States
5 Mar 2015
2
Highlights Of SECís 2014 Annual Report
On November 17, 2014, the Securities and Exchange Commissionís Office of the Whistleblower ("OWB") released its fourth Annual Report on the Dodd-Frank Whistleblower Program to Congress
United States
20 Nov 2014
3
SEC Bans Repeat, Bad-Faith Tipster From Future Submissions
The SEC Office of the Whistleblower took what appears to be a necessary and prudent step to protect the integrity and efficiency of its program.
United States
23 Jun 2014
4
SEC Scrutinizing Contractual Impediments To Whistleblower Complaints
The SEC's whistleblower chief cautioned in-house attorneys who draft contracts incentivizing employees to report securities fraud complaints in-house.
United States
19 Mar 2014
5
U.S. Supreme Court Extends SOX's Whistleblower Protection To Employees Of Publicly Traded Company's Contractors
On March 4, 2014, the United States Supreme Court decided Lawson v. FMR LLC, holding that SOX's whistleblower protection extends to employees of a publicly traded company's contractors and subcontractors. Lawson v. FMR LLC, 571 U.S.
United States
7 Mar 2014
6
SEC Enforcement Official Recommends That Firms Showcase Their Compliance Programs
Stephen Cohen, Associate Director in the Securities and Exchange Commissionís Enforcement Division, recently advised companies being investigated to flaunt their compliance programs to the agency, according to an article in the Wall Street Journal.
United States
25 Sep 2013
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