Thomson Reuters Session 2: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?
A Price Worth Paying?
SEC Whistleblower Program: What Employers Need to Know
Is Edward Snowden a Whistleblower?
First SEC whistleblower award-6 lessons learned
Whistleblower Tax Suits on the Rise
5 employment law challenges that in-house counsel will face in the coming year and how to get out ahead of them....more
The now infamous General Motors mea culpa, which followed the automotive giant’s recall of almost six million cars, has brought the importance of a “speak up culture” front and center. As part of the company’s long road to...more
The Internet is an amazing thing. People can gather and share information. You can market and sell goods. You can communicate in real time with people on the other side of the world. ...more
Fraud Index Released-Startling Findings -
A survey of more than 1,400 organizations worldwide revealed startling 4th quarter results on fraud trends for 2013. The Fraud Reporting Percentage (FRP), which measures fraud...more
The KBR decision should not be interpreted as a sign that internal investigations of regulatory compliance are privileged per se. Companies should keep the following principles in mind when conducting any internal...more
After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...more
The SEC recently charged a hedge fund advisory firm, which we refer to as the employer, for the first time using its new authority to bring anti-retaliation enforcement actions. The head trader for the employer reported to...more
“I have never understood why hospital managers don't crawl, on bended knee, from one end of their trust to the other, begging staff to tell them what's going on, what's wrong and what needs fixing,” says Roy Lilley, former UK...more
John F. Kennedy once quoted Dante: “The hottest places in hell are reserved for those who, in times of great moral crisis, maintain their neutrality.” Unfortunately, on Wall Street, maintaining neutrality — or feigned...more
On Monday, May 19, 2014, the U.S. Commodity Futures Trading Commission (“CFTC”) issued its first award to a whistleblower under its Dodd-Frank bounty program.
In this issue:
- CME Delays Prohibition on Transitory EFRPs
- JAC Issues Guidance on Margin Funds
- CFTC Hands Out First Whistleblower Award
- NFA Adopts Fee for Registration...more
This week, the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA) released the findings from their 2014 Helpline Calls and Incident Reports Whistleblower survey. The survey was...more
On April 3, 2014, the United States Occupational Safety and Health Administration (“OSHA”) issued an interim final rule that establishes procedures and time frames for handling retaliation complaints under the Consumer...more
The Internal Revenue Service Large Business and International Division (LB&I) administers United States tax law for corporations, partnerships and individuals with assets greater than $10 million. These taxpayers typically...more
Ethics and Compliance WIND is your Weekly Industry News Digest for all things compliance. We bring you the latest industry news, so you spend more time staying up-to-date and less time searching....more
In this issue:
- Cybersecurity Assessments – Using the Tool Well
- A SOX in the Gut: Supreme Court Vastly Expands Workplace "Whistleblower" Law
- SEC to Scrutinize Never-Examined Investment...more
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 directed the SEC to establish a “bounty program” for certain individuals who voluntarily provide the SEC with original information that leads to successful...more
On Oct. 1, 2013, the Securities and Exchange Commission (SEC) announced that it had awarded more than $14 million to an unidentified whistleblower who provided information leading to a successful enforcement action — by far...more
One of the hardest issues for compliance professionals is encouraging employees to raise concerns about ethics and compliance issues. It has become even more difficult when the government establishes whistleblower programs...more
Same-Sex Harassment Suits Yield Sizable Settlements -
Why it matters: Same-sex sexual harassment made headlines recently after the Equal Employment Opportunity Commission reached settlements with two different...more
The second half of 2013 saw the continued expansion of FCPA enforcement by the DOJ and the SEC. The decrease in the scope of protections afforded to whistleblowers will lead to an increase in the number of FCPA potential...more
The French data protection authority has extended the scope of whistleblowing protections to employment and discrimination claims.
Whistleblowing tips reported to the Financial Conduct Authority (the “FCA”), one of the UK bodies with responsibility for regulating the financial services industry, have increased 35 per cent in the past 12 months according...more
Whistleblowing has become a highly charged term, stirring up emotive rhetoric ranging from “ethical hero” to “treasonous traitor” with very little substantive evaluation of the real impact on the corporation and the broader...more
As we have discussed in earlier posts, the Administrative Review Board (ARB) has, over the last couple of years, issued a number of opinions signaling a decidedly employee-friendly interpretation of the whistleblower statutes...more
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