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The FCA Pledges to Improve Its Whistleblowing Framework

Overview - A survey conducted by the United Kingdom Financial Conduct Authority (FCA) in early 2022, but published only in 2023, has revealed the stark reality that the regulator is not doing enough for whistleblowers. 15...more

The SEC Reminds Companies Not to Forget the ‘S’ in ESG: Activision Blizzard Reaches $35 Million Settlement Over Disclosure...

Key Points - On February 3, 2023, Activision Blizzard settled charges with the SEC, agreeing to pay $35 million to resolve novel claims that the company failed to maintain adequate disclosure controls to track workplace...more

The FCA and SEC Annual Reports – 2022 Comparison

Key Points - The SEC and the FCA each publish annual reports, which can offer a useful insight into their enforcement actions. The data in the reports only represents a snapshot of the regulators’ activities, but is...more

SEC Issues $14 Million Whistleblower Award

Just last week the SEC issued its largest whistleblower payment to date, awarding an unidentified whistleblower more than $14 million for providing information to the SEC that led to an enforcement action and the recovery of...more

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