Monthly Archives

October 2016

The OCIE Finds its Voice – and it’s a Whistle

By | New in Compliance, Risk Alert

October 27, 2016:  The U.S. Securities and Exchange Commission (“SEC” or “Commission”) has been proclaiming near and far that its whistleblower program has surpassed $100 million in awards and payments to whistleblowers. Enforcement chiefs have touted the value of the whistleblower program for generating quality leads since the whistleblower rule became effective in 2011.

Advisers and Broker-Dealers Take Note

Well…what exactly does this mean for advisers and broker-dealers? Read More