Compliance Tip Of the Day: Using AI to Transform Whistleblower Response
Whistleblower Challenges and Employer Responses: One-on-One with Alex Barnard
Episode 359 -- Review of the EU Whistleblowing Directive with Alex Cotoia and Daniela Melendez
False Claims Act Insights - Can DE&I Initiatives Lead to Potential False Claims Act Liability?
False Claims Act Insights - Some FCA Whistles Are Louder Than Others
The USDOJ Antitrust Division’s Compliance Guidance
Episode 353 -- 2024 FCPA Enforcement and Compliance Review
Workplace Investigation Protocols: One-on-One with Greg Keating
Ep. 3 - The Art of Parallel Investigations (Part 2)
Episode 340: DOJ Updates Evaluation of Corporate Compliance Programs
The Labor Law Insider - Whistleblower Breaks Details of NLRB Mail Ballot Election Abuse – Part II
Episode 335 -- The New DOJ Whistleblower Program
DOJ’s New Self-Disclosure Policy and Corporate Whistleblower Awards Pilot Program
The Justice Insiders Podcast: DOJ’s Cacophony of Whistles
The Presumption of Innocence Podcast: Episode 37 - Vintage or Trendsetting? The SDNY's Whistleblower Pilot Program
Episode 321 -- Review of the EU Whistleblowing Directive wih Alex Cotoia and Daniela Melendez
Understanding the Whistleblower Pilot Program in the Southern District of New York
Episode 316 -- DOJ Announces New Whistleblower Policy
Navigating the SEC's Whistleblower Enforcement Wave: A Guide for Financial Institutions — The Consumer Finance Podcast
Navigating Employment and Separation Agreements: Lessons From Al Pacino's Serpico — Hiring to Firing Podcast
- What is new: DOJ’s Antitrust Division announced its Whistleblower Rewards Program, which offers up to 30% of criminal fines over $1 million to individuals reporting original information about eligible antitrust and related...more
On September 9, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges against seven public companies for alleged violations of Securities Exchange Act Rule 21F-17. According to the SEC,...more
The SEC has begun to bring enforcement actions against companies whose employment and client agreements could appear to infringe on the right to report cases in violation of Section 21f-17(a) of the Exchange Act. On September...more
Earlier this week, the SEC announced an enforcement sweep charging seven public companies with violating the whistleblower protections rule in various employment-related agreements. These charges reflect the SEC’s continuing...more
By the time you read this, a new U.S. Department of Justice (DOJ) pilot program providing financial rewards to whistleblowers may already be underway. As I write this in late May, DOJ is in the midst of what is called a...more
“Whistleblower”. Rarely has a term provoked such lively and varied reactions in the political, economic and social spheres – and even in households! Traitors for some, heroes for others, these people, who were never...more
The EU has adopted a new directive which establishes EU-wide rules for defining criminal offences and penalties related to the violation of EU sanctions. A stricter regulatory environment and closer scrutiny is expected as...more
On March 7, 2024, Deputy Attorney General Lisa Monaco announced a new 90-day pilot program at the Department of Justice (DOJ) to incentivize whistleblowers. The program is inspired by and generally follows similar programs...more
The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more
In a three-to-two vote, the U.S. Securities and Exchange Commission adopted a final rule amending its whistleblower program, which pays monetary awards to individuals who voluntarily provide information to the SEC about a...more
The U.S. Securities and Exchange Commission proposed three rule changes last week to the commission’s whistleblower program, including one that would authorize the SEC to “downward adjust” monetary awards in large actions for...more
ANTICORRUPTION DEVELOPMENTS – U.S. Agencies Decline to Prosecute Teradata for Alleged FCPA Violations – On February 26, 2018, Teradata Corporation, an Ohio-based enterprise software database management company,...more
February 16 was the deadline to introduce new bills in the California Legislature. By that date, nearly 2,200 bills were introduced. While that may seem like a staggering amount of legislative proposals (especially for a...more
2017 will most likely be remembered as a year of transition, as the Securities and Exchange Commission’s enforcement actions indicate, at least in the near term, an emphasis on specific initiatives and retail investor...more
Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements: Health Net, Inc., a formerly publicly traded company whose securities were registered with the...more