The numerous submissions made in response to the requests for comment by the Securities and Exchange Commission (the “SEC” or “Commission”) highlight that many of the proposed amendments to the whistleblower rules, if...more
10/8/2018
/ Amended Regulation ,
Anti-Retaliation Provisions ,
Civil Monetary Penalty ,
Confidentiality Agreements ,
Deferred Prosecution Agreements ,
Delays ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Double Recovery ,
Internal Reporting ,
Non-Prosecution Agreements ,
Proposed Amendments ,
Proposed Guidance ,
Public Comment ,
Reporting Requirements ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Settlement ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
In a unanimous decision written by Chief Justice John G. Roberts, Jr., the United States Supreme Court has ruled that the Government does not have an unlimited amount of time to bring civil penalty actions based on fraud. In...more
3/1/2013
/ Cause of Action Accrual ,
Discovery Rule ,
Enforcement Actions ,
Fraud ,
Gabelli v SEC ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Penalties ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Statute of Limitations