Entries in Dodd-Frank Act (35)
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.
The 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.
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.
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.
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.
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).
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.
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.
SEC Commissioner Daniel M. Gallagher talked Monday about the expanded role of compliance professionals in the securities industry.
The first conflict minerals report was submitted to the Securities and Exchange Commission Thursday by Taiwan-based Siliconware Precision Industries Co., Ltd.
The European Commission issued a draft regulation on conflict minerals Wednesday, outlining a voluntary self-certification system that's not limited to central Africa.