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Whistleblowers Regulatory Requirements Financial Services Industry

Troutman Pepper Locke

SEC Whistleblower Awards Face Scrutiny as Denials Rise

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A recent article by Bloomberg Law highlighted a significant shift in the Securities and Exchange Commission’s (SEC) approach to whistleblower claims. The article, “Whistleblower Awards Slow to Trickle as SEC Raises Bar on...more

Ropes & Gray LLP

The FCA's 2024/2025 Annual Report on whistleblowing is out - here's what you need to know

Ropes & Gray LLP on

On Tuesday (24 June 2025) the FCA published its Prescribed Person’s Annual Report on whistleblowing (“24/25 Report”), which covers reports received and acted on with during the period 1 April 2024 – 31 March 2025 (the “24/25...more

Walkers

Jersey Employment Forum champions new whistleblowing regime

Walkers on

The Jersey Employment Forum has released a report and recommendation on the introduction of public interest disclosure (whistleblowing) legislation in Jersey which will give legal protection to individuals who report certain...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 53 – The AI as a Whistleblower Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending May 17, 2025

Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more

Thomas Fox - Compliance Evangelist

Shout Outs and Rants: Episode 153, The CW 25 Edition

Welcome to this Edition of Everything Compliance, Shout Outs and Rants. In this episode, we have the quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, Tom Fox and Karen Moore. 1. Karen Moore rants at the Department of...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 51 – The Compliance Week at 20 Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

Skadden, Arps, Slate, Meagher & Flom LLP

Political Changes Are Unlikely To Fundamentally Alter Key Sanctions

Key Points - - Political transitions in the West notwithstanding, we expect economic sanctions to remain a key response to geopolitical issues. - Current sanctions policy priorities are unlikely to shift markedly in...more

Morgan Lewis

UK Financial Conduct Authority Continues Focus on Diversity and Inclusion

Morgan Lewis on

The UK Financial Conduct Authority (FCA) has recently announced that it is considering adding a sixth question on diversity and inclusion (D&I) to its five conduct questions (5CQs). The significance of D&I has long been...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

U.S. Financial Industry Developments - CFTC and SEC Announce Approval of New MOU - On June 28, 2018, the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") announced that...more

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