- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Supreme Court this week placed limitations on the SEC's whistleblower program. "To sue under Dodd-Frank’s anti-retaliation provision, a person must first 'provide information relating to a violation of the securities laws to the Commission,'” wrote Justice Ruth Bader Ginsburg.
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What kind of message does it send when a CEO tries to identify a whistleblower among the ranks of his employees?
A whistleblower received an $8 million award from the Commodity Futures Trading Commission for uncovering fraud—even though the agency deemed the whistleblower was culpable in the misconduct.
Singapore-based commodity trading company Trafigura will pay $55 million to the Commodity Futures Trading Commission to settle charges related to fraud, manipulation, and impeding whistleblower communications with the agency.
