Review of Recent Whistleblower Developments - July 2021 | Foley & Lardner LLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
Biden Administration and SEC s Whistleblower Program in Full Swing natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
Friday, July 30, 2021
SEC Charges Financial Services Firm with Violating Rule Protecting Whistleblowers
On June 23, 2021, the SEC announced settled charges against broker-dealer Guggenheim Securities for violating SEC Rule 21F-17, which prohibits taking action to impede a whistleblower from communicating with the SEC staff about potential securities law violations. See Order here. The SEC’s order found that the firm, in its compliance manual and in training presentations, instructed employees that they could not initiate contact with a regulator without approval from the firm’s legal or compliance department. In response to the SEC’s inquiry, the firm removed the objectionable language
CFTC Whistleblower Program and Recent Award Update natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
The intent of the Whistleblower Act enacted by the Washington State Legislature is to provide an avenue for state employees to report improper governmental actions. Aspects of the Whistleblower Program explained in this course include what is considered improper governmental action, the timeframe in which to report improper governmental actions, who can file a Whistleblower