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.

Please see full newsletter below for more information.

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SEC

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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