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Home Compliance

SEC’s Office of the Whistleblower Releases Annual Report

by Corporate Compliance Insights
November 20, 2014
in Compliance, Whitepapers
SEC’s Office of the Whistleblower Releases Annual Report

The Securities and Exchange Commission’s Office of the Whistleblower has recently released its annual report for fiscal year 2014.

Highlights of the report include:

  • The SEC issued more whistleblower awards in fiscal 2014 than all previous years combined, including a record $30 million award to a foreign whistleblower.
  • The first anti-retaliation case was brought against a hedge fund that retaliated against a head trader when he reported wrongdoing.
  • 3,620 whistleblower tips came into the office for FY 2014, a 20 percent increase over the last two years (3,238 in FY 2013).
  • Corporate disclosures, offering memo fraud and stock manipulation were the top categories for whistleblower tips.
  • The SEC received tips from people in 60 foreign countries (top countries outside of the U.S. include the UK, Canada, India, China and Australia).
  • The SEC has $437.8 million in its fund to disperse to whistleblowers, a 10 percent increase in international tips.
  • More than 80 percent of successful whistleblowers reported internally first.
  • Forty percent of people who received awards were current/former employees, while 20 percent were contractors, consultants, etc.

Click here to read the full report.


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