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Amidst the COVID-19 pandemic, federal whistleblower programs continue to receive thousands of tips and issue millions in awards. The Securities and Exchange Commission’s (SEC) whistleblower program remains very active and over the past year, has awarded its highest whistleblower awards ever. A new Chairman and recent rule changes may lead to even more activity under the SEC’s program. The Commodity Futures Trading Commission’s (CFTC) whistleblower program, while not as extensive as the SEC’s program, may see an uptick in activity if recent proposed legislation is passed. The government’s False Claims Act (FCA) enforcement continues to be driven by whistleblower reports and COVID-19 related fraud may lead to substantial increases in FCA tips going forward.
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By Jacqueline C. Wolff
Given the massive amount of dollars being poured into ESG funds and the SEC’s renewed focus on both the funds and the companies in the funds, there is no time like the present for companies to engage in an assessment of their climate risks and how these risks and the status of the companies’ ESG goals are being relayed to investors.
By Michael Miller and Daniel Podair
How the government might frame insider trading cases based on allegations of tipping before the execution of block trades in securities.
By Jonathan S. Sack and Christopher M. Hurley
To date, cybersecurity has generally been viewed as an organizational responsibility, and data breaches similarly have been treated as organizational weaknesses or failures. Against this backdrop of organizational responsibility, the Department of Justice has brought a noteworthy criminal case against an individual for his personal response to a corporate data breach.
By Harry Sandick and George Carotenuto
In recent years, mostly due to the well-publicized prosecution of Trump campaign manager Paul Manafort, FARA has become more of a focus for federal prosecutors. As a result, white-collar attorneys have been consulted more often about whether particular conduct requires registration under the Act.