2017-2018 SEC whistleblowing review : insights and trends
Purpose: The purpose of this review is to unpack 2017-2018 US Securities and Exchange Commission (SEC) whistleblower developments and trends. Design/methodology/approach: This paper draws on statistics in the SEC’s 2017 Annual Report to Congress on the Whistleblower Program and examines post-report SEC whistleblower activity, including three SEC whistleblower awards in March 2018 totaling $80 million+. Findings: Several notable whistleblowing developments and trends have emerged in recent years, including an increase in total tips; an increase in international tips; higher-value awards, including multiple awards in excess of $20m; and interest in punishing companies that discourage and/or retaliate against whistleblowers. In addition, the SEC recently issued its first-ever award under the Exchange Act’s “safe harbor” provision. Originality/value: This paper contains valuable insights about the activities and priorities of the SEC Office of the Whistleblower from experienced securities and white-collar-litigation lawyers.
Year of publication: |
2018
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Authors: | Meshulam, Deborah ; Ramos, Louis ; Klein, Benjamin |
Published in: |
Journal of Investment Compliance. - Emerald, ISSN 1528-5812, ZDB-ID 2048718-6. - Vol. 19.2018, 2 (02.07.), p. 5-7
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Publisher: |
Emerald |
Saved in:
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