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SEC and CFTC Reinforce Whistleblower Programs

January 26, 2016 by Eugene Grygo

U.S. regulators the SEC and the CFTC are reaffirming their commitment to make their whistleblower systems more accessible to industry participants and financially rewarding. Most recently, the SEC has given a whistleblower an award of more than $700,000 to “a company outsider who conducted a detailed analysis that led to a successful SEC enforcement action,”… Read More >>

Filed Under: Securities Operations, General Interest, AML/Fraud/Financial Crime, Regulation & Compliance, Industry News Tagged With: Andrew Ceresney, CFTC, CFTC Chairman Timothy Massad, CFTC Customer Protection Act, Commodity Exchange Act (CEA), Dodd-Frank, reform, regulator, Sean X. McKessy, SEC, SEC’s Enforcement Division, whistleblower, whistleblowers

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