In This Issue:
- SEC’s Dodd-Frank Whistleblower Program Report shows best practices make for an effective compliance and ethics program
- In unprecedented move, government seeks to extend the responsible corporate officer doctrine to product safety recall actions
- Bid-rigging cooperator gets no prison, no probation, no fines
Excerpt from SEC’s Dodd-Frank Whistleblower Program Report shows best practices make for an effective compliance and ethics program:
The Securities and Exchange Commission’s 2013 Annual Report To Congress On The Dodd-Frank Whistleblower Program provides the second complete year of data on the activities of the Office of the Whistleblower (“OWB”) since the office’s establishment in 2011. The SEC distributed $14,831,965.64 in award payments during fiscal year 2013, including $14 million to one whistleblower for information that led to an enforcement action that recovered substantial investor funds less than six months after the SEC received the information.
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