SEC
Model Whistleblower Act Makes Meaningful Impact
The North American Securities Administrators Association (NASAA) is an international securities-regulatory organization seeking to protect investors and promote capital markets...
SEC Whistleblower Program Dishes Out $23 Million in Awards
After a few weeks with no award orders, the U.S. Securities and Exchange Commission (SEC) issued $23 million in whistleblower...
SEC Denies Whistleblower Award Claim Because Disclosure was Not Voluntary
On July 5, the U.S. Securities and Exchange Commission (SEC) issued a whistleblower award claim denial. The SEC based its...
Internal Ernst & Young Whistleblower First Disclosed Cheating Scandal
On June 28, the U.S. Securities and Exchange Commission (SEC) announced charges against Ernst & Young LLP (EY) for cheating...
SEC Fines Brinks for Restricting Whistleblowing in Contracts
On June 22, the U.S. Securities and Exchange Commission (SEC) announced settled charges with the Brink’s Company, a private security...
SEC Announces First Enforcement Action by ESG Task Force
On May 23, the U.S. Securities and Exchange Commission (SEC) announced charges against BNY Mellon Investment Adviser, Inc. for misstatements...
Whistleblower Advocates Support SEC Climate Disclosure Rule Proposal
On March 21, the U.S. Securities and Exchange Commission (SEC) proposed rule changes that would require publicly traded companies to make...
SEC Grants $6 Million to Five Whistleblowers Who Assisted in Case
On April 25, the U.S. Securities and Exchange Commission (SEC) issued $6 million in awards to two groups of whistleblowers,...
SEC Charges Tech Exec With Impeding Whistleblower
On April 12, the U.S. Securities and Exchange Commission (SEC) announced settled charges against David Hansen, co-founder and former Chief...
April 11 Deadline Nears for Public Comments on SEC Whistleblower Program Amendments
April 11 is the deadline for the public to submit comments on proposed rule changes to the U.S. Securities and...
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