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HTMLSEC Releases Annual Report on its Whistleblower Program: Progress, Priorities, and Payments
Nicholas S. Feltham, Mary P. Hansen, Ronald A. Sarachan; Drinker Biddle & Reath LLP;
Legal Alert/Article
December 16, 2013, previously published on November 27, 2013
On November 15th, the U.S. Securities and Exchange Commission released its 2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program. The report contains helpful insight into the operation of the SEC’s Office of the Whistleblower (OWB), and details OWB’s progress to date,...

 

HTMLSEC Announces First Deferred-Prosecution Agreement with an Individual
Mary P. Hansen; Drinker Biddle & Reath LLP;
Legal Alert/Article
November 26, 2013, previously published on November 21, 2013
On November 12, 2013, the Securities and Exchange Commission (SEC) announced it had entered into a Deferred-Prosecution Agreement (DPA) with Scott Herckis, a former hedge fund administrator, for his role in an allegedly fraudulent scheme involving Heppelwhite Fund, LP, a Connecticut-based hedge...

 

HTMLSEC Announces First Non-Prosecution Agreement Involving FCPA Violations
Mary P. Hansen; Drinker Biddle & Reath LLP;
Legal Alert/Article
April 29, 2013, previously published on April 26, 2013
On April 22, 2013, the Securities and Exchange Commission (SEC) announced it had entered into a Non-Prosecution Agreement (NPA) with Ralph Lauren Corporation under which the company agreed to disgorge approximately $700,000 in connection with certain unlawful payments made by a foreign subsidiary...