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SEC Enforcement Targets Anti-Whistleblower Practices In Financial Firm's Release Agreements With Retail Clients - Government Policy & Public Finance

As the year gets underway, the Securities and Exchange Commission (SEC or Commission) is continuing its ongoing enforcement efforts to target anti-whistleblower practices...

New-york , United-states , Gurbirs-grewal , Gurbir-grewal , David-hansen , Financial-industry-regulatory-authority , Congress-whistleblower-program-nov , Jp-morgan-securities , Exchange-act-rule , Kbr-inc , Securities-exchange , Whistleblower-program

SEC charges SolarWinds and CISO with securities fraud and control failures

You remember the 2020 SolarWinds hack, perhaps one of the worst cyberattacks in history? As NPR described it in 2021, we all regularly receive…

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SEC Enforcement Chief Issues Reminder Concerning Compliance Officer Liability | Bressler, Amery & Ross, P.C.

On Oct. 24, 2023, Gurbir Grewal, the Director of the U.S. Securities and Exchange Commission’s (SEC) Enforcement Division, spoke to the NY Bar Association Compliance Institute about his...

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