EU, Whistleblowers, Securities and Exchange Commission (SEC)

A Look at the Whistleblowers Who Made Lasting Impacts

NAVEX on 6/12/2024

As seen in the previous article, whistleblowing cases regularly make the news headlines. And while some of the names of the reporters or the cases are well known, it’s worthwhile to take a closer look at the people behind the...more

The Whistleblower Experience – Unpacking the Benefits and Best Practices

NAVEX on 11/9/2023

If you find yourself thinking, “there are so many whistleblower stories in the news these days,” you’re not wrong. From historic awards being distributed from the U.S. Securities and Exchange Commission (SEC) to the EU...more

Whistleblower Day 2023: The (R)evolution of Speaking Up

StoneTurn on 7/28/2023

On July 30, 1778, the Second Continental Congress passed the Whistleblower Protection Act of 1778, which is considered to be the first whistleblower law in world history. Much has changed in two and a half centuries, but very...more

Katten Financial Markets and Funds Quick Take | Issue 15

Katten Muchin Rosenman LLP on 6/14/2023

Four Key Considerations Since SEC Amended Form PF - In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more

Top 10 International Anti-Corruption Developments for May 2023

Morrison & Foerster LLP on 6/14/2023

Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption law and enforcement developments from the past...more

Jones Day Cross-Border Investigations Series 2023 - Issue 1 : Whistleblowing

Jones Day on 5/15/2023

While there are a number of ways in which organizations may become aware of potential wrongdoing internally, perhaps the most significant for its legal and compliance teams is internal reporting, or “whistleblowing,” by...more

Dechert Cyber Bits - Special Edition: 2023 Predictions

Dechert LLP on 12/30/2022

What is in store for Privacy and Cybersecurity in 2023 - As the year ends, we offer this special edition with predictions for 2023 from each member of the Cyber Bits Partner Committee. Regardless of what happens in 2023, we...more

Will Europe Fail to Protect Whistleblowers?

Kohn, Kohn & Colapinto LLP on 6/4/2021

Pursuant to a Directive enacted by the European Parliament and Council, all 27 nations within the European Union (EU) must “bring into force” whistleblower protection “laws, regulations and administrative provisions” by...more

A New Age of Accountability: Global Whistleblowing on the Rise

NAVEX on 4/2/2021

In 2021, whistleblowers will come into their own in ways previously unseen. While the United States has had whistleblower protections for two decades, Europe and the Asia-Pacific region are setting new standards in...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new...

Katten Muchin Rosenman LLP on 3/29/2021

BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more

Financial Regulatory Developments Focus - November 2018 #4

A&O Shearman on 11/26/2018

In this week’s newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 7/13/2018

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

Your Daily Dose of Financial News

Robins Kaplan LLP on 5/31/2018

We got an official first look at the Fed’s revised Volcker Rule yesterday, and the “sweeping plan to soften” the rule will open “the door for banks to resume some trading activities restricted as part of the 2010 Dodd-Frank...more

Employment Flash - April 2018

Skadden, Arps, Slate, Meagher & Flom LLP on 5/2/2018

This edition of Employment Flash looks at recent court decisions, including the U.S. Supreme Court's rulings on cases relating to the definition of a whistleblower and exemptions from the overtime pay provisions. This edition...more

Red Notice Newsletter - Russian

Akin Gump Strauss Hauer & Feld LLP on 4/11/2018

ANTICORRUPTION DEVELOPMENTS – Canadian Mining Company Settles with SEC over FCPA Charges – On March 26, Kinross Gold Corporation settled with the Securities and Exchange Commission (SEC) over its alleged failure to...more

Red Notice Newsletter - Chinese

Akin Gump Strauss Hauer & Feld LLP on 4/11/2018

ANTICORRUPTION DEVELOPMENTS – Canadian Mining Company Settles with SEC over FCPA Charges – On March 26, Kinross Gold Corporation settled with the Securities and Exchange Commission (SEC) over its alleged failure to...more

Red Notice Newsletter - March 2018

Akin Gump Strauss Hauer & Feld LLP on 4/4/2018

ANTICORRUPTION DEVELOPMENTS – Canadian Mining Company Settles with SEC over FCPA Charges – On March 26, Kinross Gold Corporation settled with the Securities and Exchange Commission (SEC) over its alleged failure to...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 3/20/2018

The Journal’s weekend report on Facebook’s role in the unauthorized use of data from 50 million users wreaked havoc on the ‘Book’s stock yesterday, with losses spreading across the tech sector (and fellow its FANGers in...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on 11/16/2016

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 11/4/2016

Financial Industry Developments - SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings - On October 26, 2016, the Securities and Exchange Commission adopted rules designed to modernize...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 11/3/2016

Soooooo . . . about that whole Brexit thing. A UK High Court has ruled that Britain’s EU withdrawal cannot move forward without the approval of Parliament, setting off more uncertainty and what’s expected to be a series of...more

"Employment Flash - October 2016"

Skadden, Arps, Slate, Meagher & Flom LLP on 10/31/2016

Spotlight on Whistleblower Protections - On October 24, 2016, the Securities and Exchange Commission (SEC) issued a “risk alert” regarding SEC registrants’ compliance with Rule 21 F-17, which implements Section 21F of...more

Your daily dose of financial news - The Brief – 8.31.16

Robins Kaplan LLP on 8/31/2016

Continual rejections worked for Hershey in fending off Mondelez’s takeover bid. The Deal Professor thinks that Tronc faces considerable risks in following the same strategy with Gannett’s repeated overtures....more

Employment Law - January 2016 #2

Manatt, Phelps & Phillips, LLP on 1/28/2016

EU Permits Employers to Monitor Private Employee Communications - Why it matters - In a favorable ruling for employers, the European Union's (EU) highest court concluded that an employee's right to privacy was not...more

2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds

Proskauer Rose LLP on 11/25/2015

Proskauer has released the 2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds. The 88-page report is a summary of significant legal changes and developments in the private funds space...more

European Union › Whistleblowers › Securities and Exchange Commission (SEC)

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