On August 1, 2024, the Department of Justice (DOJ) launched its Corporate Whistleblower Awards Pilot Program, first announced earlier this year. Through the pilot program, the DOJ may issue awards to whistleblowers who...more
10/30/2024
/ Compliance ,
Corporate Crimes ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Enforcement ,
Federal Pilot Programs ,
Pilot Programs ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Voluntary Disclosure ,
Whistleblower Awards ,
Whistleblowers ,
White Collar Crimes
The Securities & Exchange Commission, the Department of Health & Human Services, and other agencies have long had established bounty programs that reward successful tipsters. On August 1, 2024, the Department of Justice’s...more
8/27/2024
/ Corporate Crimes ,
Corporate Misconduct ,
Department of Health and Human Services (HHS) ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Federal Pilot Programs ,
Investigations ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
Whistleblower Awards ,
Whistleblowers
Eleventh Circuit Adopts “Totality of the Circumstances” Test for Showing Protected Activity Under SOX and Denies Whistleblower Petition for Review -
In Ronnie v. Office Depot, LLC, --- F.4th ----, 2023 WL 6210623 (11th Cir....more
10/25/2023
/ Appeals ,
Civil Monetary Penalty ,
Fraud ,
Internal Controls ,
Investment Adviser ,
Motion to Dismiss ,
Retaliation ,
Sarbanes-Oxley ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies ,
Whistleblowers
SCOTUS to Review SOX Retaliation Case Involving Burden of Proof of Retaliatory Intent -
On May 1, 2023, in Murray v. UBS Securities, LLC, No. 22-660, the United States Supreme Court granted former UBS Securities employee...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Third...more
4/21/2023
/ Arbitration ,
CFTC ,
Commodity Exchange Act (CEA) ,
Corporate Counsel ,
Dodd-Frank ,
Employee Misconduct ,
Popular ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Statute of Limitations ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...more
The Final Rule issued under the Corporate Transparency Act (CTA) is, as forecast, a sweeping and significant update to the U.S. anti-money laundering laws, estimated to affect over 32 million entities by requiring new reports...more
10/12/2022
/ Beneficial Owner ,
Corporate Transparency Act ,
Exemptions ,
Federal Register ,
Final Rules ,
FinCEN ,
Foreign Corporations ,
Limited Liability Company (LLC) ,
Penalties ,
Securities and Exchange Commission (SEC) ,
Small Business
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: ...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...
SEC to Study Amended...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
• SEC...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
SEC...more
4/23/2021
/ Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Dodd-Frank ,
Enforcement Actions ,
Investment Advisers Act of 1940 ,
Non-Prosecution Agreements ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
SEC...more
1/29/2021
/ Anti-Money Laundering ,
CFTC ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Dodd-Frank ,
NDAA ,
Parent Corporation ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury ,
Whistleblower Awards ,
Whistleblowers
On January 1, 2021, Congress passed the National Defense Authorization Act for Fiscal Year 2021, which includes the Corporate Transparency Act (the CTA).1 The CTA requires all U.S. businesses to file “beneficial ownership”...more
1/12/2021
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Beneficial Owner ,
Data Protection ,
Data Storage ,
FDIC ,
Financial Services Industry ,
FinCEN ,
Limited Liability Company (LLC) ,
Patriot Act ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Shell Corporations ,
Tax Returns
SEC Whistleblower Program Rules Change -
On September 23, 2020, the U.S. Securities and Exchange Commission (SEC) announced the adoption of a final rule in Release 34-89963 that changes several aspects of its whistleblower...more
10/22/2020
/ Appeals ,
CFTC ,
Corporate Counsel ,
Dodd-Frank ,
Final Rules ,
New Rules ,
Proposed Rules ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
SEC...more
8/5/2020
/ CARES Act ,
CFTC ,
Coronavirus/COVID-19 ,
Corporate Counsel ,
Department of Labor (DOL) ,
Enforcement Actions ,
Families First Coronavirus Response Act (FFCRA) ,
Paycheck Protection Program (PPP) ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
Despite the global pandemic, the federal judiciary continues to issue rulings. In the last week, two courts provided guidance about when self-disclosures to the government waive the attorney-client privilege, underscoring the...more
4/2/2020
/ Board of Directors ,
Compliance ,
Continuing Legal Education ,
Coronavirus/COVID-19 ,
Corporate Counsel ,
Data Points ,
Department of Justice (DOJ) ,
Directors ,
Ethics ,
Internal Investigations ,
Securities and Exchange Commission (SEC)
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments...more
1/29/2020
/ Annual Reports ,
Anti-Retaliation Provisions ,
CFTC ,
Directors ,
Dodd-Frank ,
Enforcement Actions ,
Rule 21F-17 ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Fifth...more
4/16/2019
/ Bio-Rad Laboratories ,
CFTC ,
Corporate Counsel ,
Dismissals ,
Dodd-Frank ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
JPMorgan Chase ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Upward...more
1/28/2019
/ Annual Reports ,
Anti-Retaliation Provisions ,
CEOs ,
CFTC ,
Commodity Exchange Act (CEA) ,
Dodd-Frank ,
Initial Coin Offering (ICOs) ,
NYDFS ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
New...more
7/19/2018
/ Anti-Retaliation Provisions ,
CFTC ,
Dodd-Frank ,
Employer Liability Issues ,
Hiring & Firing ,
Internal Reporting ,
Proposed Rules ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Only...more
4/18/2018
/ Anti-Retaliation Provisions ,
Bright-Line Rule ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Internal Reporting ,
Reporting Requirements ,
Retaliation ,
Safe Harbors ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers