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The SEC and CFTC whistleblower reward programs recently reported their FY 2022 results to Congress and both programs continue to provide great returns for taxpayers by using whistleblowers to supercharge the agencies’ ability to combat fraud and conserve agency resources.
The SEC staff previewed the sweep exams in a September risk alert that outlined portions that it intends to focus on when exams begin. Staff also suggested initial sweeps will be used as a tool to better understand current industry approaches before more guidance.