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 and securities markets. The OCIE focuses on improving compliance, preventing securities fraud, monitoring risk and advising the full Commission on policy. One of the OCIE’s priorities for 2016 is to closely examine exchange-traded funds, known as … [Read more...]
SEC Whistleblower Attorney Guide: What the SEC Program 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 Exchange Commission's Office of the Whistleblower. This program offers individuals an easy way to do the right thing and sound the alarm on financial wrongdoing. But it is a program that is unique in key aspects - and potential whistleblowers need to … [Read more...]