Difference between revisions of "SEC Whistleblower Program"

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The Tenth Circuit is the first Circuit Court to address the scope of the SEC’s extraterritorial enforcement authority under the Dodd-Frank Act. The opinion highlights the SEC’s expansive international reach against fraudsters. For additional analysis of the Tenth Circuit’s opinion, see a recent article in the Harvard Law School Forum on Corporate Governance and Financial Regulation, [https://corpgov.law.harvard.edu/2019/06/09/a-new-era-of-extraterritorial-sec-enforcement-actions/ A New Era of Extraterritorial SEC Enforcement Actions]. In November 2019, the U.S. Supreme Court [https://news.bloomberglaw.com/securities-law/high-court-denies-review-in-sec-fraud-extraterritoriality-case declined to review the case].
The Tenth Circuit is the first Circuit Court to address the scope of the SEC’s extraterritorial enforcement authority under the Dodd-Frank Act. The opinion highlights the SEC’s expansive international reach against fraudsters. For additional analysis of the Tenth Circuit’s opinion, see a recent article in the Harvard Law School Forum on Corporate Governance and Financial Regulation, [https://corpgov.law.harvard.edu/2019/06/09/a-new-era-of-extraterritorial-sec-enforcement-actions/ A New Era of Extraterritorial SEC Enforcement Actions]. In November 2019, the U.S. Supreme Court [https://news.bloomberglaw.com/securities-law/high-court-denies-review-in-sec-fraud-extraterritoriality-case declined to review the case].
=References=
#<sup>1</sup></span> Zuckerman, Jason (Jan-Mar 2018 Issue). [https://riskandcompliancemagazine.com/tips-for-whistleblowers-to-qualify-for-an-sec-whistleblower-award "Tips for Whistleblowers To Qualify for an SEC Whistleblower Award"]. Risk and Compliance Magazine.
#<sup>2</sup></span> SEC (2020). [https://www.sec.gov/files/2020%20Annual%20Report_0.pdf 2020 Annual Report to Congress]
#<sup>3</sup></span> (2017). [https://www.transparency.org/en/news/corruption-perceptions-index-2017# "2017 Corruption Perceptions Index"].
#<sup>4</sup></span> PWC. (2018). [https://www.pwc.com/gx/en/services/forensics/economic-crime-survey.html "PwC’s 2018 Fraud Survey".
#<sup>5</sup></span> ACFE (2021) [https://www.pwc.com/gx/en/services/forensics/economic-crime-survey.html "ACFE’s 2021 Fraud Survey".