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FCPA Blog Daily News

Entries in Dodd-Frank Act (35)

Thursday
Oct062016

SEC brings its first stand-alone whistleblower retaliation action

The SEC last week brought its first enforcement action based solely on retaliation against a whistleblower. Casino-gaming company International Gaming Technology (IGT) agreed to pay a $500,000 penalty to settle the SEC's enforcement action.

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Thursday
Sep102015

Frédéric St-Martin: Should whistleblowers’ motives matter?

Do motives matter for assessing the legitimacy of whistleblower allegations? This issue is currently subject to debate in Canada as the Ontario Securities Commission (OSC) and Canada Revenue Agency (CRA) are respectively considering and testing reward-based schemes for whistleblowers.

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Monday
Nov032014

Fordham Law offers LL.M in Corporate Compliance, expands JD training

Image courtesy of Forham Law SchoolThe FCPA Blog’s recent postings on the rise in compliance education are encouraging. At Fordham Law School, we're finding increasing demand from the business community in New York and throughout the country for compliance professionals and believe that it is one of the most important growth areas for legal education. We have adjusted our course offerings accordingly.

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Tuesday
Sep022014

SEC awards $300,000 to whistleblower with internal audit and compliance role

The Securities and Exchange Commission said Friday a whistleblower award of more than $300,000 went to a company audit and compliance employee who complained to the SEC after the company didn't act on the same information.

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Friday
Aug292014

Chicago promoter indicted for $160 million visa fraud against Chinese investors

A Chicago man was indicted Wednesday for defrauding 290 Chinese investors in an alleged visa scheme that ran for two years until it was stopped by a whistleblower complaint to the SEC.

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Thursday
Aug142014

Second Circuit affirms dismissal of compliance officer retaliation suit against Siemens

The United States Court of Appeals for the Second Circuit on Thursday affirmed the dismissal of lawsuit filed by a former Siemens compliance officer in China who said the company retaliated against him after he internally reported alleged corrupt sales practices.

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Wednesday
Jun112014

Interview with Christopher Ehrman, Director of the CFTC Whistleblower Office

As readers of the FCPA Blog know, the Dodd-Frank Act in 2010 created whistleblower bounty programs in both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).

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Friday
Jun062014

SEC turns 80 -- shows little signs of slowing down

June 6 is the U.S. Securities and Exchange Commission's 80th birthday. It's a good reason to revisit the agency's role in regulating the world's biggest securities market and the varying interpretations of its mission.

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Thursday
Jun052014

Federal judge expands meaning of 'whistleblower' beyond other ruling

A federal district court ruled in May that whistleblowers don't have to report to the SEC to receive protection against retaliation by their employers.

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Thursday
May152014

SEC commissioner calls Dodd-Frank the 'lawyers full employment act'

Daniel M. Gallagher began his commissioner's term in November 2011SEC Commissioner Daniel M. Gallagher talked Monday about the expanded role of compliance professionals in the securities industry.

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Friday
Apr252014

First conflict minerals report is filed with the SEC 

The first conflict minerals report was submitted to the Securities and Exchange Commission Thursday by Taiwan-based Siliconware Precision Industries Co., Ltd.

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Monday
Mar102014

European Commission issues draft conflict minerals rule

Image courtesy of Global Witness via YouTubeThe European Commission issued a draft regulation on conflict minerals Wednesday, outlining a voluntary self-certification system that's not limited to central Africa.

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