The Commodity Futures Trading Commission (CFTC), an independent U.S. government agency that regulates the U.S. derivatives markets, including futures, options, and swaps, has announced a new policy for mitigating potential...more
The U.S. Securities and Exchange Commission (SEC) brought more actions targeting regulated entities for recordkeeping violations related to employees using noncompany communications platforms, and both the SEC and the U.S....more
9/23/2024
/ Civil Monetary Penalty ,
Corporate Misconduct ,
Corruption ,
Credit Rating Agencies ,
Department of Justice (DOJ) ,
Electronic Communications ,
Enforcement Actions ,
False Claims Act (FCA) ,
Federal Pilot Programs ,
Financial Institutions ,
Foreign Corporations ,
Fraud ,
Instant Messaging Apps ,
Pilot Programs ,
Qui Tam ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
The Commodity Futures Trading Commission (CFTC) has joined the list of federal agencies targeting employment nondisclosure agreements and other restrictive covenants that allegedly restrict employees from making reports to...more
7/26/2024
/ CFTC ,
Civil Monetary Penalty ,
Commodities Traders ,
Commodity Exchange Act (CEA) ,
Confidentiality Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Material Nonpublic Information ,
Misappropriation ,
Non-Disclosure Agreement ,
Oil & Gas ,
Popular ,
Restrictive Covenants ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Whistleblower Protection Policies ,
Whistleblowers
The U.S. Securities and Exchange Commission (SEC) in recent years has taken an aggressive stance against employers over employment agreements that the agency believes impede its whistleblower program—as highlighted by a $10...more
1/29/2024
/ Confidentiality Agreements ,
Contract Terms ,
Employer Liability Issues ,
Employment Contract ,
Enforcement Actions ,
Non-Disclosure Agreement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
The U.S. Securities and Exchange Commission (SEC) recently settled charges alleging that a company’s employee separation agreements restricted former employees from receiving monetary awards for reporting securities law...more
11/1/2023
/ Contract Terms ,
Corporate Counsel ,
Corporate Fines ,
Enforcement Actions ,
Restrictive Covenants ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Separation Agreement ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers