All whisteblower program articles
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Webcast‘200+ Tips in 3 months’: DOJ’s corporate whistleblower program so far
The Department of Justice received more than 200 whistleblower tips since it launched its long-awaited Corporate Whistleblower Awards (CWA) Pilot Program on Aug. 1, according to the program’s Acting Director Patrick Gushue in a Compliance Week exclusive.
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News BriefCFTC cites ‘unreasonably delayed reporting’ for unevenly split $4M whistleblower award
“Unreasonably delayed reporting” cost one of two claimants whom will unevenly split a $4 million whistleblower award from the Commodity Futures Trading Commission for providing information that led to a successful enforcement action.
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ArticleWhat would a Democratic regulatory agenda look like under Biden?
Democratic presidential nominee Joe Biden is no lock to win the presidency on Nov. 3. But it’s worth examining what compliance-related regulatory policies he’d support if he wins.
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ArticleSEC awards three whistleblowers $260,000
The SEC has awarded over $260,000 to three individuals who jointly submitted a tip alerting the agency to a well-concealed fraud targeting retail investors that led to a successful enforcement action. The whistleblowers were, themselves, harmed investors.
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Article
Debate over whistleblowers and their protections takes center stage
The SEC has taken great pains to encourage, reward, and protect whistleblowers. Have they done so to the detriment of public companies?
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Blog
SEC’s Ceresney on the role of whistleblower attorneys
In a speech this week, SEC Enforcement Director Andrew Ceresney addressed the role that the attorneys representing informants can play in the process, including managing expectations, producing corroborating materials, and helping to ensure post-enforcement confidentiality. Joe Mont has more.
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Article
Canadian securities regulators disagree on whistleblower incentives
Following the Securities and Exchange Commission’s lead, Canadian securities regulators have launched two very different whistleblower programs—one provides a bounty, the other does not—which creates new legal risks for companies. Jaclyn Jaeger reports.