Recently by Christian Bartholomew
Regulatory & Compliance
SEC’s Second Annual Report Summarizing Whistleblower Program Shows Little Change
On November 15, 2013, the U.S. Securities and Exchange Commission (SEC or the Commission) released its Annual Report to Congress on the Dodd-Frank Whistleblower Program (the Report).[1] The Report is remarkable for three reasons. First, the Report shows that, despite very significant...
Read MoreLitigation
In Gabelli, Supreme Court Holds SEC Enforcement To Strict Five-Year Limitations Period For Penalties; Will The Other Shoe Drop In Bartek?
In Gabelli v. SEC, No. 11-1274, 2013 WL 691002 (U.S. Feb. 27, 2013), the Supreme Court unanimously adopted a bright-line rule that, in SEC enforcement cases where the SEC seeks civil money penalties, the five-year statute of limitations provided for in 28 U. S. C. §2462[1] begins to run when...
Read MoreFinance | Private Equity
The Dodd-Frank Act: Two Years Later
Editor’s Note: This report discusses steps to reduce the likelihood of a future recession and is therefore of great importance to all our readers. Our thanks go to Weil, Gotshal & Manges LLP and its Financial Regulatory Reform Working Group for their efforts. ...
Read MoreRegulatory & Compliance
The SEC's New Whistleblower Rules: Changing The Landscape For Compliance And Enforcement
Editor: Please tell us about the new SEC whistleblower bounty program. Odoner: Regulation 21F, which will take effect August 12, implements the whistleblower bounty program and anti-retaliation provisions mandated by the Dodd-Frank Act. The most controversial aspect of the proposed regulation...
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