The Securities and Exchange Commission (SEC) continues to investigate companies for including language in their employment and separation agreements or retail client settlement agreements that potentially discourages...more
9/18/2024
/ Broker-Dealer ,
Dodd-Frank ,
Employees ,
Employment Contract ,
Enforcement Actions ,
Financial Institutions ,
Financial Markets ,
Government Agencies ,
Investment Adviser ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Separation Agreement ,
Settlement Agreements ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Following a year of new DOJ policies and guidance designed to incentivize companies to self-report misconduct and to cooperate with government investigations, the DOJ has added a new pilot whistleblower rewards program. In...more
3/19/2024
/ Artificial Intelligence ,
CFTC ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
False Claims Act (FCA) ,
Pilot Programs ,
Popular ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes
The Department of Justice (DOJ) has unveiled a new whistleblower policy designed to incentivize individuals to disclose corporate misconduct through financial rewards from any resulting forfeiture of criminal proceeds. The...more
3/13/2024
/ Algorithms ,
Artificial Intelligence ,
Cooperative Compliance Regime ,
Department of Justice (DOJ) ,
False Claims Act (FCA) ,
Pilot Programs ,
Risk Management ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes