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Whistleblowers › Financial Reporting

Kohn, Kohn & Colapinto LLP

Vatican Recognizes Importance of Financial Whistleblowers, But Offers No Anonymity

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In January, the Vatican issued new procedures on whistleblowing, expanding on 2019 procedures for reporting financial anomalies to the Office of the Auditor General. The new procedures are a recognition of the importance of...more

Pietragallo Gordon Alfano Bosick & Raspanti,...

A “Plaintiff-Friendly” Standard For SOX Whistleblowers – A Helping Hand For FCA Relators?

Pietragallo Gordon Alfano Bosick & Raspanti,... on

On February 8, 2024, the US Supreme Court issued a unanimous opinion in Murray v. UBS Securities, LLC, No. 22-660 (U.S. 2024) restoring a $900K jury verdict in favor of a whistleblower under the Sarbanes-Oxley Act (SOX)...more

NAVEX

SEC Office of the Whistleblower Annual Report to Congress – 3 Things You Need to Know

NAVEX on

On November 14, 2023 the Securities and Exchange Commission (SEC) released its annual Office of the Whistleblower Report to Congress for fiscal year 2023 (October 1, 2022-September 30, 2023). This report highlighted several...more

The Volkov Law Group

NAVEX Issues 2022 Ethics Hotline Benchmarking Report: Whistleblower Reporting Rates and Retaliation Increase

The Volkov Law Group on

As the leading hotline provider in the global market, NAVEX is in the unique position of collecting and analyzing employee reporting trends.  Each year, NAVEX issues an important report on current trends in employee...more

Foley Hoag LLP - White Collar Law &...

SEC Enforcement in 2021: A Look Ahead

Foley Hoag LLP - White Collar Law &... on

Editors’ Note: With the advent of the Biden presidency, we invite you to join us as we examine important trends in white collar law and investigations. Our first entry takes a closer look at SEC enforcement. Up next: a review...more

Jones Day

SEC Enforcement in Financial Reporting and Disclosure—2018 Mid-Year Update

Jones Day on

Chairman Jay Clayton's vision for the Securities and Exchange Commission has largely shaped the first half of 2018, with policies and initiatives focused on the "main street investor" and combating clear cases of outright...more

Latham & Watkins LLP

SEC Investigations: A Guide for Public Company Directors, Officers, and In-House Counsel

Latham & Watkins LLP on

Even public companies with a strong code of conduct, an exemplary tone at the top, robust internal controls, and a culture of compliance may face allegations of misconduct that can lead to an investigation by the Division of...more

Morgan Lewis

SEC Speaks 2017

Morgan Lewis on

Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more

Perkins Coie

Issuer Reporting and Disclosure Remains Focus of SEC and Other Regulators

Perkins Coie on

In a recent speech, SEC Enforcement Director Andrew Ceresney confirmed the SEC’s continued pursuit of investigations and enforcement actions relating to issuer reporting and disclosure, an area that remains a high priority...more

Littler

Second Circuit Rules Internal Whistleblowers Are Protected Under Dodd-Frank

Littler on

The U.S. Court of Appeals for the Second Circuit created a federal appellate split today when it revived a Dodd-Frank Act retaliation claim by an ex-finance director, who was responsible for the company’s financial reporting...more

Skadden, Arps, Slate, Meagher & Flom LLP

"The SEC’s Renewed Scrutiny on Accounting Cases: Expected Focus Areas and How Companies Can Prepare"

Skadden, Arps, Slate, Meagher & Flom LLP on

The U.S. Securities and Exchange Commission (SEC or Commission) has announced plans to reinvigorate its enforcement efforts with respect to accounting issues. These plans include adding dedicated personnel and using data...more

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