Tag Archives: SEC

Trends in Enforcement Actions – What 2014 Can Tell Us about the Road Ahead

By Rosemary Weghorst

Changes in international legislation and trends in enforcement have continued to be a moving target for 2014 and 2015. In the area of FCPA enforcement, several trends provide guidance on what companies need to be conscientious about in the coming year. In the area of international regulations, there continues to be an upswing in the number of countries that have added new regulations or tightened requirements around existing legislation to send a message regarding their efforts to reduce corruption.

Continue reading Trends in Enforcement Actions – What 2014 Can Tell Us about the Road Ahead

Recent Trends in Whistleblower Protection under Dodd–Frank

By Edward J. Buthusiem & Gary F. Miller, Jr.

The enactment of the Dodd–Frank Act was intended to provide the SEC with an important weapon in its mission to seek and vigorously prosecute the commission of securities and other types of frauds domestically and overseas. By providing to whistleblowers monetary incentives ranging between 10 percent and 30 percent of fines assessed, the whistleblower program has gained an element of popularity—some would say notoriety—amongst would-be reporters of putative wrongdoing. Recent Federal Court decisions, however, have created significant roadblocks that could blunt the Dodd–Frank juggernaut.

Continue reading Recent Trends in Whistleblower Protection under Dodd–Frank