More Regulatory & Compliance Articles

Investigations

Corporate Internal Investigations Alert: SEC Gives $300,000 Whistleblower Award To Employee Responsible For Compliance And Audit Functions

On August 29, 2014, the Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $300,000 for a company employee who performed audit and compliance functions.[1] The award, twenty percent of the amount the SEC collected in an enforcement action,...

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Regulatory & Compliance

Volcker Rule Update

On December 6, 2013, five federal financial regulatory agencies – Board of Governors of the Federal Reserve System (FRB); Office of the Comptroller of the Currency (OCC); Federal Deposit Insurance Corporation (FDIC); Securities and Exchange Commission (SEC); and Commodity Futures Trading...

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Board of Directors

The Deal Compass – Inversions

Several U.S. companies have completed an inversion transaction to potentially reduce their tax rate and ensure that earnings arising from future growth outside the U.S. remain outside the U.S. tax system. In June of 2014, another inversion transaction, QLT Inc.’s acquisition of Auxilium...

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