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Deploying Countermeasures to the SEC's Dodd-Frank Whistleblower Awards
Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act created awards of 10%-30% of monetary sanctions for whistleblowers who report to the SEC original information leading to securities law enforcement actions that recover more than $1 million. This could change the dynamics of whistleblowing and self-reporting for organizations. We discuss below 10 actions organizations might take to help mitigate the increased regulatory risk this change may create.
With the SEC settling securities cases for as much as hundreds of millions of dollars, the new awards could at times reach the $10 million-$150 million range. This raises two major questions:
- How can organizations incentivize their employees to blow the whistle internally before, or instead of, going to the SEC?
- How will this impact the effectiveness of compliance and ethics programs and the potential credit for self-reporting or qualifying for a reduction in sentence under the Federal Sentencing Guidelines?
These tough questions reflect the size of the rock that the Dodd-Frank Act has launched into the compliance and ethics pond.
Incentives for Organizations
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Yachts, Jets, Horses & Hooch: Specialized Commercial Leasing Models
Defining commercial real estate asset class is essentially a property explaining how it identifies — not necessarily what its original intention was or what others think it ought to be. This article discusses, from a general issue-spot and contextual analysis perspective, how lawyers ought to think about specialized leasing formats and the regulatory backdrops that may inform what the documentation needs to contain for compliance purposes.
Hyperlinked Documents: The Latest e-Discovery Challenge
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Risks and Ad Fraud Protection In Digital Advertising
The ever-evolving digital marketing landscape, coupled with the industry-wide adoption of programmatic advertising, poses a significant threat to the effectiveness and integrity of digital advertising campaigns. This article explores various risks to digital advertising from pixel stuffing and ad stacking to domain spoofing and bots. It will also explore what should be done to ensure ad fraud protection and improve effectiveness.
Turning Business Development Plans Into Reality
This article offers practical insights and best practices to navigate the path from roadmap to rainmaking, ensuring your business development efforts are not just sporadic bursts of activity, but an integrated part of your daily success.