Purpose – The purpose of this paper is to recommend proactive measures that companies should take to manage reports of securities violations under the SEC's new whistleblower program. Design/methodology/approach – The paper explains the whistleblower bounty program and recommends ten...

Purpose – The purpose of this paper is to explore the requirements of Section 954 of the Dodd‐Frank Act, “Recovery of erroneously awarded compensation”, and what companies should currently be doing in anticipation of these requirements. Design/methodology/approach – The paper explains...

Purpose – The purpose of this paper is to explain the meaning and legal impact of two September 2011 Supreme Court of Delaware decisions regarding challenges to the validity of life insurance policies sold to investors as life settlements on the basis of a lack of an insurable interest after...

Purpose – The purpose of this paper is to explain legislative and regulatory changes and related developments that will be of interest to hedge funds and other private funds as they traverse the shifting regulatory landscape in 2012. Design/methodology/approach – The paper provides a general...

Purpose – The purpose of this paper is to explain the proposed Foreign Account Tax Compliance Act (FATCA) regulations released on February 8, 2012 by the US Treasury Department and the Internal Revenue Service (IRS). Design/methodology/approach – The paper provides an overview of the changes...

Purpose – The purpose of this paper is to analyze a recent US Securities and Exchange Commission order dismissing an administrative proceeding against the former general counsel of a broker‐dealer relating to his purported failure to supervise a registered representative....

Purpose – The purpose of this paper is to discuss the implications of an SEC Risk Alert and two FINRA regulatory notices concerning the use of social media by registered investment advisers. Design/methodology/approach – The paper analyzes the SEC Office of Compliance and Inspections...