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Tag: Whistleblower

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Regulation, enforcement & litigation
In a new version of the transfer pricing strategy, Tom Sandell virtually relocated his hedge fund from New York to Florida to avoid NY tax liabilities...
News
Regulation, enforcement & litigation
Guggenheim had restrictive language against whistleblowing in its compliance manual. The SEC reviewed the manual and fined the firm $209,000 - before any whistleblower was silenced. The...
Investments & markets
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The risk manager who blew the whistle on Deutsche's Libor manipulation is entitled to a $100m award. That's a problem. It would empty the coffer for...
Investments & markets
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Jordan A. Thomas, the former whistleblower program manager at the SEC, as well as a leading plaintiff attorney, is suing the SEC for changes to the...
Investments & markets
News
The Corporate Transparency Act, enacted in the Defense Appropriation bill of January 2021, is a game-changer for financial investigators. It prevents bad actors from hiding behind...