The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations recently announced its priorities for 2016. The OCIE conducts examinations of the securities industry with the goal of improving the integrity of the capital … [Read more...]
The SEC Whistleblower Program: What it is – And How Best to Use it
Whistleblowers have become an effective weapon in the fight against fraud, so not surprisingly, they have been embraced - and supported - by a growing array of new laws and programs. One of the most prominent recent initiatives is the Securities and … [Read more...]