Overview

Over the last few months, the US Securities & Exchange Commission’s (SEC) Division of Enforcement has begun to implement a number of initiatives designed to induce cooperation from individuals who participated in - or at least knew of - violations of the federal securities laws.

These initiatives, if successful, could create powerful incentives for employees of public companies to blow the whistle on corporate wrongdoing directly to the Commission.

This briefing discusses the SEC’s new cooperation regime as outlined by Enforcement’s leadership, highlights the risks this regime presents to public companies and also provides tips on how those companies may avoid or manage those risks.

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