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Searching Content indexed under Criminal Law by William McLucas ordered by Published Date Descending.
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Four Things Companies Should Know About the SEC's 2015 Whistleblower Report
The SEC recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
24 Nov 2015
2
SEC Applies Whistleblower Interference Rule To Corporate Confidentiality Requirement
On April 1, the US Securities and Exchange Commission issued—in a settled administrative proceeding—a cease-and-desist order in In the Matter of KBR, Inc., directing that the respondent cease violating Commission Rule 21F-17(a).
United States
28 Apr 2015
3
Review Of SEC Enforcement Developments In 2014, And A Look Forward
Securities and Exchange Commission Chair Mary Jo White has called for the SEC to be more aggressive in its enforcement program.
United States
11 Mar 2015
4
Recent Insider Trading Decision
On December 10, the US Court of Appeals for the Second Circuit issued an opinion in United States v. Newman that could be the most consequential insider trading decision in a generation, but for reasons that virtually no one anticipated.
United States
29 Dec 2014
5
Top Five SEC Enforcement Events In 2013
This article reviews a selection of the top five Securities and Exchange Commission Enforcement events of 2013.
United States
13 Mar 2014
6
Update: SEC's Financial Reporting And Audit Task Force
On February 11, Margaret McGuire, Vice Chair of the US Securities and Exchange Commission's (SEC) Financial Reporting and Audit Task Force (Task Force), participated in a DC Bar panel discussion to review the objectives, administration and early initiatives of the Task Force since its formation was announced by the SEC last July.
United States
20 Feb 2014
7
Don’t Tread On Whistleblowers: Mitigating And Managing Retaliation Risks
As the Securities and Exchange Commission’s Whistleblower Program gains traction, reporting of compliance concerns is likely to increase.
United States
14 Jan 2014
8
The Top 10 SEC Enforcement Events Of 2011
2011 was an eventful year for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC"). Our assessment of the top ten SEC Enforcement events of 2011 is discussed below.
United States
18 Jan 2012
9
SEC Whistleblower Bounties: 10 Things Companies Can Do Right Now To Stay Ahead
Under the Securities and Exchange Commission's new whistleblower program, individuals who report potential securities violations to the SEC may be entitled to a reward of between 10 and 30 percent of any monetary recovery exceeding $1 million.
United States
10 Aug 2011
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