SEC
SEC Institutes New Cybersecurity Disclosure Rules, Opening Door for Cybersecurity Whistleblowing
In July, the U.S. Securities and Exchange Commission (SEC) adopted enhanced requirements regarding material cybersecurity incidents and reporting. Through the SEC Whistleblower Program, whistleblowers may qualify for monetary awards for reporting violations of these new cybersecurity disclosure rules. According to...
SEC Continues Increased Enforcement of Whistleblower Protection Rule
On September 29, the U.S. Securities and Exchange Commission (SEC) announced settled charges against D. E. Shaw & Co., L.P., a New York-based registered investment adviser, for violating a whistleblower protection rule by impeding whistleblowing through restrictive non-disclosure agreements. Rule...
Following Whistleblower Disclosure, SEC Levels Largest Ever Penalty for ESG Greenwashing Violations
On September 25, the U.S. Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment Management Americas Inc. (DWS), a subsidiary of Deutsche Bank. DWS agreed to pay $25 million to settle the charges in...
SEC Charges Yet Another Company for Violating Whistleblower Rights
On September 19, the Securities and Exchange Commission (SEC) announced settled charges against CBRE, Inc. for using an employee release that violated the SEC’s whistleblower protection rule. Coming on the heels of a similar action announced on September 8, the...
SEC Sanctions Privately Held Company for Violating Whistleblower Protection Rule
On September 8, the U.S. Securities and Exchange Commission (SEC) announced that it had settled charges with Monolith Resources LLC, a privately held energy and technology company, for using severance agreements that violated the agency’s whistleblower protection rules. While the...
SEC Grants Two Whistleblower Awards Totaling $2.1 Million
On August 29, the U.S. Securities and Exchange Commission (SEC) issued two separate whistleblower awards: for $1.5 million and $600,000 respectively. Through the SEC Whistleblower Program, qualified whistleblowers are entitled to awards of 10-30% of the sanctions collected by the SEC...
SEC Awards $18 Million to Whistleblower Who Helped Agency Recover Tens of Millions
On August 25, the U.S. Securities and Exchange Commission (SEC) announced an $18 million whistleblower award. The agency granted the award to an individual who voluntarily provided the agency with original information that opened an investigation and contributed to the...
SEC Whistleblower Office Chief Rebuts Recent Criticism of SEC Whistleblower Program
“At no point have I ever considered who the counsel is on a recommendation. It doesn’t factor into our analysis,” Nicole Creola Kelly, the chief of the SEC’s Office of the Whistleblower, recently told the Wall Street Journal. Kelly conducted...
SEC Issues 4th Largest Whistleblower Award: $104 Million to 7 Individuals
On August 4, the U.S. Securities and Exchange Commission (SEC) announced that it granted a total of $104 million in awards to seven whistleblowers, citing their willingness to provide original information which led to a successful enforcement action. The combined...
SEC Awards $9 Million to Whistleblower Who Helped Agency Recover Millions
On July 12, the U.S. Securities and Exchange Commission (SEC) announced a $9 million whistleblower award. The agency granted the award to an individual who voluntarily provided the agency with original information that contributed to the success of an enforcement...
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