Topic
Whistleblower Program
178 published works
Proskauer Whistleblower Defense
CFTC Releases FY 2019 Annual Report
By Lloyd B. Chinn, Pinchos Goldberg, Scott Tan
The Commodity Futures Trading Commission (“CFTC”) recently released its statutorily mandated 2019 Annual Report covering the fiscal year ending on September 30, 2019. The report, prepared by the CFTC’s Whistleblower…
Compliance Building
SEC 2019 Whistleblower Program Report
Section 924(d) of Dodd-Frank requires the Securities and Exchange Commissions Office of the Whistleblower to report annually to Congress on Office’s activities, whistleblower complaints received, and the response of the…
Corporate Governance & Internal Investigations Advisor
Over $2 Billion in Sanctions Ordered by the U.S. Securities and Exchange Commission
In its 2019 Annual Report to Congress, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) whistleblower program announced a “momentous milestone”: The SEC has ordered over $2 billion in…
The CLS Blue Sky Blog
Calculating SEC Whistleblower Awards: A Theoretical Approach
By Amanda Rose
On October 23, the Securities and Exchange Commission is scheduled to vote on whether to adopt proposed amendments to the rules governing its whistleblower bounty program. The most controversial proposed…
The SEC Institute Blog
$376 Million! – Whistleblower News and Big Dollars!
The SEC’s whistleblower program has reached a new milestone, now having paid out $376 million to 61 individuals since it made its first award payment in 2012. On March 26,…
Cleary Enforcement Watch
CFTC Issues First Whistleblower Award Originating From Both a Related Action and a Company Outsider
By Jennifer Kennedy Park, Nowell D. Bamberger, Alex Janghorbani, Jim Wintering
On March 4, 2019, the Commodity Futures Trading Commission (“CFTC”) announced a whistleblower award of over $2 million to an individual—unaffiliated with the company the CFTC charged—for providing expert analysis…
Proskauer Whistleblower Defense
SEC Releases FY 2018 Whistleblower Program Annual Report
By Harris Mufson, Jacob L. Hirsch
On November 15, 2018, the U.S. Securities and Exchange Commission (“SEC”) published its statutorily mandated fiscal year report to Congress covering the agency’s whistleblower program. The report, which covers the…
Whistleblower Wire
An Unusually Busy Summer for the CFTC Results in Record Whistleblower Awards Totaling over $75 million
By eplawecki
An Unusually Busy Summer for the CFTC Results in Record Whistleblower Awards Totaling over $75 million This summer the Commodity Futures Trading Commission (CFTC) issued its first award since August…
Timely disclosure
OSC’s Proposed Amendment to Whistleblower Program
On January 18, 2018, the Ontario Securities Commission (OSC) published and requested comments for a proposed change to OSC Policy 15-601 Whistleblower Program (Policy). The Whistleblower Program came into effect…
White Collar Briefly
Foreign Whistleblowers Continue to Collect Lucrative Bounties under Dodd-Frank
On December 5, 2017, the U.S. Securities and Exchange Commission (SEC) issued an order awarding more than $4.1 million to a whistleblower who voluntarily provided original information to the agency…