U.S. News and World Report said Monday that aspiring MBA students should consider a career as a compliance officer.
Entries in Dodd-Frank Act of 2010 (21)
The U.S. Senate voted Friday to repeal an SEC rule that would have required oil and gas and mining companies to disclose each year all of their payments to foreign governments for concessionary rights, permits, taxes, and other things.
Health Net Inc. paid a $340,000 penalty Tuesday to the SEC for illegally using severance agreements that required outgoing employees to waive their ability to obtain monetary awards from the SEC’s whistleblower program.
The Securities and Exchange Commission adopted a final rule this month requiring swap dealers to appoint chief compliance officers to run the compliance program and report to the board or the CEO.
First-hand details of the global pay to play kickback scheme at Olympus were brought to the government's attention by the company's former corporate compliance officer.
The U.S. Securities and Exchange Commission released an Order Determining Whistleblower Award Claim for more than $700,000 to one person, but denying an award to three other claimants for the same matter.
Congress could not have been any clearer in its statutory design. Nor the SEC any more outspoken in its revitalized approach to government enforcement. Whistleblower rewards work. Even more, they are an indispensable component of the modern regulatory scheme.
The Securities and Exchange Commission announced its first enforcement action Wednesday against a company for using restrictive language in confidentiality agreements that could illegally stifle whistleblowing.
I could not help thinking about the astonishing positive changes that have occurred as I watched the SCCE’s September 16 general session on the new laws protecting whistleblowers enforced by the SEC’s Office of the Whistleblower.