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  • Statement On Proposal To Revisit Recently Adopted Whistleblower Rule Amendments, SEC Commissioner Hester M. Peirce, Feb. 10, 2022

    Date 10/02/2022

    In September 2020, after a lengthy notice-and-comment period and two years of careful consideration, the Commission amended its whistleblower rules for the first time since they were adopted in 2011. I supported the amendments because they drew from a decade of experience with the whistleblower program and were calibrated to balance efficient administration of our effective whistleblower program with the program’s overarching goal of providing incentives for individuals to report, sometimes at great risk to their careers, violations of the federal securities. Yet in June 2021, a spare seven months after the 2020 Amendments became effective, the whistleblower rules returned to the Chair’s regulatory agenda, notwithstanding the fact that there appeared to be no new information that merited revisiting the recently amended rules. Two months later, over my objection, the Commission published a “policy statement” that, in response to a legal challenge to certain of the 2020 rule amendments, effectively nullified the challenged provisions.

  • SEC Proposes Two Amendments To Whistleblower Reward Program Rules

    Date 10/02/2022

    Today, the U.S. Securities and Exchange Commission (SEC) proposed two amendments to the rules governing its highly successful whistleblower program. Both amendments seek to ensure that whistleblowers are properly rewarded for exposing securities law violations. One proposed amendment allows the SEC to pay related action awards for enforcement actions taken by other entities even when those agencies have their own whistleblower reward programs. The second proposed amendment clarifies that the SEC can only consider the dollar amount of an award as a factor when choosing to increase an award, not lower it.

  • Statement On Beneficial Ownership Proposal, SEC Chair Gary Gensler, Feb. 10, 2022

    Date 10/02/2022

    Today, the Commission proposed to shorten the deadlines by which beneficial owners of a company — those who own at least 5 percent of the company — have to inform the public and other investors of their position. I am pleased to support this proposal because it would update our reporting requirements for modern market, reduce information asymmetries, and address the timeliness of two key filings.

  • ISDA Responds To HM Treasury On Financial Services Future Regulatory Framework

    Date 10/02/2022

    On February 9, 2022, ISDA submitted a response to HM Treasury’s consultation on the Financial Services Future Regulatory Framework Review. The consultation sets out the UK government’s proposals for important changes to the UK’s financial services regulatory framework, building on the UK’s existing model of regulation established by the Financial Services and Markets Act. 

  • Statement On Amendments To The Whistleblower Program, SEC Chair Gary Gensler, Feb. 10, 2022

    Date 10/02/2022

    Today, the Commission voted to propose amendments to rules governing the SEC’s whistleblower program. I support these amendments because, if adopted, they would help ensure that whistleblowers are both incentivized and appropriately rewarded for their efforts in reporting potential violations of the law to the Commission.

MV 120 X 600 Hard to Reach