SEC
Leading Whistleblower Attorney Argues Against Proposed “Soft Cap” to SEC Whistleblower Awards
The U.S. Securities and Exchange Commission (SEC) postponed its vote on controversial changes to the highly successful whistleblower program. Whistleblower...
Investment Advisory Firm and Former CEO Ordered to Pay SEC Over $2 Million
On July 1, the U.S. Securities and Exchange Commission (SEC) announced that the U.S. District Court for the District of...
Japan Amends Whistleblower Protection Act
This summer, Japan passed amendments to its Whistleblower Protection Act to broaden the scope of whistleblower protections and ensure proper...
Whistleblower Attorney Warns Proposed “Soft Cap” on SEC Whistleblower Awards Could Undermine Whistleblower Program’s Deterrent Effect
The U.S. Securities and Exchange Commission (SEC) will soon vote on proposed amendments to the agency’s highly successful whistleblower program. ...
SEC Cancels Vote on Proposed Changes to Whistleblower Program
Today, the U.S. Securities and Exchange Commission (SEC) cancelled a scheduled vote on proposed changes to the agency’s whistleblower reward...
SEC to Vote on Controversial Amendments to Whistleblower Program
The U.S. Securities and Exchange Commission (SEC) is scheduled to meet at 9 a.m. on September 2 to vote on...
SEC Charges Blockchain Services Company with Conducting Unregistered Initial Coin Offering
In May, the U.S. Securities and Exchange Commission (SEC) charged blockchain services company BitClave PTE Ltd. (BitClave) for an unregistered...
Investment Adviser to Pay SEC $30 Million as Result of Fraud Charges
On June 5, the U.S. Securities and Exchange Commission (SEC) announced final judgment on its fraud charges against investment adviser...
SEC Charges International Insurance Company with Making False Loss Reserve Disclosures
On June 17, the U.S. Securities and Exchange Commission (SEC) charged international insurance company AmTrust Financial Services, Inc. (AmTrust) and...
Dermatology Product Manufacturer to Pay SEC $37 Million as Result of Fraud Charges
On June 5, the U.S. Securities and Exchange Commission (SEC) announced final judgment on its charges against dermatology product manufacturer...
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