Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Shruti J. Shah
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
How do public company audit committees cope? Their to-do list keeps getting longer and more complicated. Yet somehow, most audit committees still complete their tasks (which, by the way, include FCPA compliance oversight).… Continue Reading
The SEC last week brought its first enforcement action based solely on retaliation against a whistleblower. Casino-gaming company International Gaming Technology (IGT) agreed to pay a $500,000 penalty to settle the SEC’s enforcement action.… Continue Reading
Do motives matter for assessing the legitimacy of whistleblower allegations? This issue is currently subject to debate in Canada as the Ontario Securities Commission (OSC) and Canada Revenue Agency (CRA) are respectively considering and testing reward-based schemes for whistleblowers.… Continue Reading
Image courtesy of Forham Law SchoolThe FCPA Blog’s recent postings on the rise in compliance education are encouraging. At Fordham Law School, we’re finding increasing demand from the business community in New York and throughout the country for compliance professionals and believe that it is one of the most important growth areas for legal education.… Continue Reading
The Securities and Exchange Commission said Friday a whistleblower award of more than $300,000 went to a company audit and compliance employee who complained to the SEC after the company didn’t act on the same information.… Continue Reading
A Chicago man was indicted Wednesday for defrauding 290 Chinese investors in an alleged visa scheme that ran for two years until it was stopped by a whistleblower complaint to the SEC.… Continue Reading
The United States Court of Appeals for the Second Circuit on Thursday affirmed the dismissal of lawsuit filed by a former Siemens compliance officer in China who said the company retaliated against him after he internally reported alleged corrupt sales practices.… Continue Reading
As readers of the FCPA Blog know, the Dodd-Frank Act in 2010 created whistleblower bounty programs in both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
June 6 is the U.S. Securities and Exchange Commission’s 80th birthday. It’s a good reason to revisit the agency’s role in regulating the world’s biggest securities market and the varying interpretations of its mission.… Continue Reading
A federal district court ruled in May that whistleblowers don’t have to report to the SEC to receive protection against retaliation by their employers.
Judge John Gerrard in Nebraska issued the ruling in Bussing v.… Continue Reading
Daniel M. Gallagher began his commissioner’s term in November 2011SEC Commissioner Daniel M. Gallagher talked Monday about the expanded role of compliance professionals in the securities industry.
Instead of focusing on the “scoundrels in the industry,” he talked about the “folks from the other end of the spectrum.”… Continue Reading
The first conflict minerals report was submitted to the Securities and Exchange Commission Thursday by Taiwan-based Siliconware Precision Industries Co., Ltd.
The deadline for filing Form SD with the SEC is May 31, when companies must make their conflict-minerals disclosures required by the Dodd-Frank Act.… Continue Reading
