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Results 1 to 5 of 144



SEC publishes 2015 whistleblower report

USA - November 22 2015 The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program. The report indicates the SEC received 3,923 tips in fiscal year…


CFTC makes second whistleblower award

USA - October 4 2015 The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for…


SEC charges investment adviser with cybersecurity violations

USA - September 23 2015 The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for…


ISS commences 2016 proxy voting policy survey

USA - August 5 2015 ISS has commenced its 2016 proxy voting policy survey. Some of the issues ISS seeks comment on include: Is it appropriate to use non-GAAP or adjusted…


SEC seeking comment on possible revisions to audit committee disclosures

USA - July 6 2015 The SEC has issued a concept release to seek public comment regarding audit committee reporting requirements, with a focus on the audit committee's…

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