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Searching Content indexed under Whistleblowing by Shearman & Sterling LLP ordered by Published Date Descending.
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1
UK Conduct Regulator Wants Improvements To Banks' Whistleblowing Arrangements
On November 14, 2018, the FCA published the outcome of its review of firms' whistleblowing arrangements.
UK
30 Nov 2018
2
Record-Breaking Whistle-Blower Awards Continue Incentives To Report Misconduct To The SEC
On March 19, 2018, the SEC announced three multi-million dollar awards to whistle-blowers to reward them for reporting misconduct.
United States
4 Jun 2018
3
European Commission Proposes Protective Legislation For Whistleblowers Reporting EU Law Breaches
On April 23, 2018, the European Commission published a proposal for a Directive on the protection of persons reporting on breaches of Union law.
European Union
8 May 2018
4
Whistleblower Waiver Alarms The SEC
FINANCIAL CRISIS-ERA WHISTLEBLOWER laws – protecting and sometimes paying bounties to those who report suspected wrongdoing to US regulators – provide a steady pipeline of tips to the SEC.
United States
29 Mar 2017
5
UK Regulators Propose Extending Some Of Their Whistleblowing Requirements To UK Branches Of Overseas Banks
On September 28, 2016, the PRA and the FCA launched separate consultations on proposals to extend some of their whistleblowing requirements to UK branches of non-EEA banks.
UK
25 Oct 2016
6
Securities Enforcement: 2016 Mid-Year Review
The Securities and Exchange Commission instituted over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which it set last year.
United States
26 Jul 2016
7
First Outsider To Receive Whistleblower Award From SEC
This was the first ever whistleblower award to a company outsider since the beginning of the SEC whistleblower programme in 2011.
United States
27 Apr 2016
8
CFTC's Publication Of Largest Whistleblower Award Follows Increased Focus On Whistleblowing Initiatives
In 2011, the CFTC announced the opening of its Whistleblower Office, created under Section 748 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act") and Section 23 of the CEA.
United States
13 Apr 2016
9
US Commodity Futures Trading Commission Launches Whistleblower Program's Website
On January 21, 2016, the CFTC launched a new website to provide the public with information about whistleblower rights and protections...
United States
1 Mar 2016
10
Securities Enforcement 2015 Year-End Review
The Securities and Exchange Commission (the SEC or the Commission) filed a record 807 enforcement actions in fiscal year 2015, 52 more than it filed in 2014.
United States
9 Feb 2016
11
EU Legislation Published On Protection Of Whistle Blowers Under The Market Abuse Directive
The Market Abuse Regulation sets out the EU requirements on insider dealing, the unlawful disclosure of inside information and market manipulation and will apply directly across the EU from July 3, 2016.
European Union
19 Jan 2016
12
In The Matter Berman v. Neo@Ogilvy LLC: Federal Appellate Courts Split On Whether Internal Employee Reports Are Protected By The Dodd-Frank Act's Whistleblower Anti-Retaliation Provision
On 10 September 2010, the federal appellate court based in New York held, contrary to the view of another federal appellate court, that an employee who reports suspected securities law violations...
United States
28 Oct 2015
13
SEC Clarifies Definition Of "Whistleblower" Under Dodd-Frank Anti-Retaliation Provision
Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act established a series of new incentives and protections for individuals to report possible violations of the federal securities laws.
United States
23 Oct 2015
14
UK Regulators Finalize Whistleblowing Rules
On October 6, 2015, the PRA and FCA published Policy Statements and final rules on whistleblowing.
UK
23 Oct 2015
15
Securities Enforcement 2015 Mid-Year Review
In the first half of 2015, the SEC's Enforcement Division announced a number of significant enforcement achievements...
United States
10 Aug 2015
16
SEC Says Confidentiality Agreements May Impede Whistleblowers
On April 1, 2015, the United States Securities and Exchange Commission ("SEC" or "Commission") filed its first enforcement action under Section 21F of the Securities Exchange Act of 1934.
United States
15 Apr 2015
17
Department For Business Innovation & Skills Issues Guidance On Whistleblowing
On March 20, 2015, the Department for Business Innovation & Skills published guidance for employers and prescribed persons regarding whistleblowing.
UK
15 Apr 2015
18
UK Regulators Consult On Proposed Whistleblowing Procedures In Banking And Insurance Sectors
On February 23, 2014, the PRA and FCA jointly proposed measures seeking to formalize procedures for whistleblowing in the banking and insurance sectors.
UK
5 Mar 2015
19
Securities Enforcement 2014 Year-End Review
Fiscal year 2014 proved to be another eventful and record-breaking year for the Division of Enforcement (Enforcement Division) of the United States Securities and Exchange Commission (SEC or the Commission).
United States
9 Feb 2015
20
OSHA Issues Interim Final Rule On Whistleblower Procedures Under The Consumer Financial Protection Act
The US DoL’s Occupational Safety and Health Administration issued its interim final rule and request for comments on the procedures for handling retaliation complaints.
United States
25 Jul 2014
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