SEC whistleblower retaliation protection ambiguous, lawyer warns


Retaliation protection for whistleblowers under the US Securities and Exchange Commission's (SEC) whistleblower programme is unclear and may lead to problems for potential whistleblowers and the SEC itself, one legal expert has warned.

The Dodd-Frank Act mandated protection from employer retaliation to whistleblowers who provide information to the SEC. However, the SEC's whistleblowing regulation widens the protection to include whistleblowers who report problems within their organisation rather

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Investment banks: the future of risk control

This survey report explores the current state of risk controls in investment banks, the challenges of effective engagement across the three lines of defence, and the opportunity to develop a more dynamic approach to first-line risk control

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