News & Analysis as of

Whistleblowers Internal Audit Functions

Pietragallo Gordon Alfano Bosick & Raspanti,...

SEC’S $9 Million Award: The Promise And Hurdles For Whistleblowers Who Serve In Compliance

On July 12, 2023, the Securities and Exchange Commission (SEC) awarded $9 million to a whistleblower who submitted a tip through the SEC’s Whistleblower Program. Per agency policy, the Award Order is heavily redacted and does...more

Oberheiden P.C.

SEC Compliance Internal Audit Tips: 4 Things You Should Know

Oberheiden P.C. on

Regulated securities firms need to take significant actions to ensure that their company is complying with the legal requirements set out by regulations promulgated by the U.S. Securities and Exchange Commission (SEC) and the...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Higher Education Compliance Conference - June 1st - 3rd

Due to the COVID-19 pandemic, our Higher Education Compliance Conference will be held virtually. Attendees will enjoy Higher Education compliance sessions and industry updates in an interactive, online experience, plus have...more

The Volkov Law Group

When Corporate Leaders Fail to Listen

The Volkov Law Group on

There are an infinite number of ways that corporations can end up violating the law resulting in a government enforcement action. There is no way to define the nature and extent of all of these possibilities....more

Thomas Fox - Compliance Evangelist

Day 1 of One Month to Better Investigations and Reporting-Introduction to Investigations and Internal Reporting

The call, email or tip comes into your office; an employee reports suspicious activity somewhere across the globe. That activity might well turn into a Foreign Corrupt Practices Act (FCPA) issue for your company. As the Chief...more

The Volkov Law Group

Compliance Trends and Predictions for 2017

The Volkov Law Group on

The past year was another great success for the compliance profession and related technologies. Compliance continues to grow as the “professionalization” of compliance continues to skyrocket. As my good friend Donna Boehme...more

The Volkov Law Group

5 Key Takeaways from AB InBev SEC FCPA Settlement

The Volkov Law Group on

The Justice Department and the SEC have been busy over the last 2 weeks in the FCPA arena. For those who have raised doubts about DOJ and the SEC’s continuing commitment to FCPA enforcement, you should forever hold your...more

Proskauer - Corporate Defense and Disputes

SEC Awards Compliance Officer Whistleblower Bounty of Approximately $1.5 Million

Wednesday, the SEC announced that it would pay an unidentified compliance officer a whistleblower bounty award of between $1.4 and $1.6 million. This is the second award that the SEC has made to a whistleblower with internal...more

Epstein Becker & Green

Five Key Issues Confronting Financial Services Industry Employers

Epstein Becker & Green on

Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

Proskauer - Whistleblowing & Retaliation

District Court Denies Summary Judgment On Internal Audit/SOX Administrator’s Whistleblower Claim

In denying a bank’s bid for summary judgment on an Internal Audit and SOX Administrator’s SOX whistleblower claim, the U.S. District Court for the Western District of Washington highlighted the present conflict on the...more

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