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Whistleblowers Securities and Exchange Commission (SEC)

Redgrave LLP

Maintaining Information Preservation and Management Vigilance in an Age of Apparent Reduced Law Enforcement

Redgrave LLP on

Corporate legal departments are busy. They face new privacy regulations, ever-shifting trade policies, developments in artificial intelligence, and an unending stream of breaking news. It is difficult to keep up, and lately,...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending July 19, 2025

Welcome to 10 For 10, the podcast that brings you the week’s top 10 compliance stories in one episode 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

Daily Compliance News: July 18, 2025, The Don’t Alter Docs Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News....more

Morgan Lewis - As Prescribed

FDA’s Shifting Stance on Public Disclosure of NDA and BLA Complete Response Letters – How Far Will It Go?

The US Food and Drug Administration has announced a renewed focus on a long-considered issue—whether FDA should release complete response letters (CRLs) issued to drug or biologic applicants. Specifically, on July 10, 2025...more

A&O Shearman

New DOJ-USPS Whistleblower Rewards Program For Antitrust Tips

A&O Shearman on

On July 8, 2025, the Antitrust Division of the U.S. Department of Justice (“DOJ”) announced the launch of a whistleblower rewards program in partnership with the U.S. Postal Service (“USPS” or the “Postal Service”) and the...more

NAVEX

Watch Out for Hoax Reports to Your Hotline

NAVEX on

We’ve recently been made aware of an increase in anonymous hoax emails and online reports posted to multiple companies through their internal reporting systems. The wording of these posts were identical and alleged violation...more

Proskauer - Whistleblower Defense

Washington Federal Court Refuses to Dismiss SOX Whistleblower Claim Despite Plaintiff Working Abroad

On March 25, 2025, in Smith v. Coupang,[1] the United States District Court for the Western District of Washington denied Coupang, Inc.’s motion to dismiss its former employee’s SOX and state law whistleblower claims despite...more

Womble Bond Dickinson

Enforcement Priorities and Policy Changes Detailed at SEC Speaks Conference

Womble Bond Dickinson on

The U.S. Securities and Exchange Commission held its annual SEC Speaks conference on May 19 and 20, 2025, in Washington, D.C. On the second day of the conference, the Staff of the Division of Enforcement hosted two panel...more

Bradley Arant Boult Cummings LLP

SEC Enforcement Leadership Discusses New Priorities and Expectations

On May 20, 2025, as part of the annual “SEC Speaks” program, the leadership of the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement publicly discussed the enforcement priorities under new Chairman Paul...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

American Conference Institute (ACI)

[Event] Global Anti-Corruption, Ethics & Compliance - June 10th - 11th, New York, NY

ACI's Global Anti-Corruption, Ethics & Compliance – New York is your best opportunity to hear how companies are addressing the status of DOJ and SEC priorities, effective compliance and risk strategies, strengthening...more

Morgan Lewis

Securities Enforcement Roundup – April 2025

Morgan Lewis on

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from April 2025. In April 2025: Crypto Enforcement Activity and Developments...more

Carlton Fields

Is SEC Whistleblower Program Topping Out?

Carlton Fields on

Since its establishment more than a dozen years ago, the SEC’s whistleblower program has grown substantially — in terms of the number of whistleblower tips received by the SEC, as well as the number and dollar amount of...more

Secretariat

When the Whistle Blows

Secretariat on

The term “whistleblower” generally refers to a person who anonymously reports suspected corporate misconduct to their employer or to law enforcement or regulatory authorities. This article focuses primarily on current...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: April 22, 2025, The Upping Your Game Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy morning coffee, and listen to the Daily Compliance News. All, from the...more

Perkins Coie

Leveling the Playing Field? Developing Discovery Strategies in CFTC Civil Enforcement Actions

Perkins Coie on

The Commodity Futures Trading Commission’s Division of Enforcement wields immense power in civil enforcement actions. It often seeks financial sanctions, including hefty financial penalties, and injunctive relief that can...more

Ropes & Gray LLP

[Podcast] Navigating Whistleblower Trends and Risk Mitigation Under a New Administration

Ropes & Gray LLP on

On this Ropes & Gray podcast, partners Greg Demers, Amy Kossak, Dan O’Connor, and associate Kendall Dacey provide updates on the SEC’s whistleblower program, False Claims Act enforcement, and recent federal laws supporting...more

Zuckerman Spaeder LLP

The False Claims Act Could Become the New “It” Statute in an Uncertain Enforcement Landscape

Zuckerman Spaeder LLP on

Uncertainty was a prominent theme at last week’s ABA White Collar Crime Institute. The Trump administration has issued a series of directives that seem to shift and narrow the scope of (if not entirely abandon) a host of...more

Vedder Price

Government Agencies to Continue Pursuing Core Enforcement Initiatives and Other Highlights from the ABA 40th Annual National...

Vedder Price on

The American Bar Association held its 40th Annual National Institute on White Collar Crime conference on March 5, 6, and 7, 2025, in Miami, Florida. The conference featured robust panel discussions with the federal and state...more

Lathrop GPM

Trump Executive Order Pausing FCPA Enforcement: Have Legal Requirements Changed?

Lathrop GPM on

One of the most notable developments in the anti-corruption world is the Trump Administration’s Feb. 10 Executive Order, “Pausing Foreign Corrupt Practices Act Enforcement To Further American Economic and National Security.” ...more

Benesch

A Survey of Recent Enforcement Actions, Trends & Priorities

Benesch on

The landscape of criminal prosecution of foreign bribery has shifted, and the second Trump administration has made its priorities clear; however, companies still have 950 million reasons and counting to strengthen their...more

Vedder Price

SEC Settles Enforcement Proceedings Against Quantitative Hedge Fund Manager for Alleged Algorithmic Model Vulnerabilities

Vedder Price on

On January 16, 2025, the SEC announced the settlement of administrative proceedings brought against a hedge fund manager that used algorithmic investment models to provide investment advice to its private fund and separately...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for January 2025

On January 17, 2025, a few days before the presidential inauguration, the SEC reported a record-breaking first quarter of fiscal year 2025 (October through December 2024) with 200 total enforcement actions, including 118...more

Troutman Pepper Locke

Trump Pauses FCPA Enforcement: Implications for Corporate Compliance Strategies

Troutman Pepper Locke on

On February 10, President Donald J. Trump signed an executive order and accompanying fact sheet directing U.S. Attorney General (AG) Pam Bondi to pause the initiation of new investigations and enforcement actions, and to...more

Skadden, Arps, Slate, Meagher & Flom LLP

Anti-Bribery and Corruption Risks Remain Despite FCPA Enforcement Pause

On February 10, 2025, President Donald Trump signed an executive order directing the U.S. attorney general, Pam Bondi, to pause Foreign Corrupt Practices Act (FCPA) actions for 180 days until she issues revised FCPA...more

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