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Supreme Court to Review Whether Dodd-Frank Anti-Retaliation Provisions Protect Internal Whistleblowers | The D&O Diary
In the flurry of opinions and orders on Monday on the final day of the U.S. Supreme Court’s term, and amid the hubbub over the Court’s action on the Trump administration travel ban order, you might well have overlooked the fact that on Monday the Court also agreed to take up the question of whether […]
SEC chairman promises action on fiduciary rule | Financial Planning
SEC Chairman Jay Clayton pledged to move forward on the fiduciary rule in a “coordinated” process with the Department of Labor. Clayton presented the agency’s trimmed-down $1.6 billion budget request before a Senate subcommittee Tuesday, noting more than half would pay for enforcement and examinations. The SEC and Labor Department must work together on “the […]
Supreme Court to Clarify Definition of “Whistleblower” Under The Dodd-Frank Act – Lexology
The U.S. Supreme Court yesterday granted certiorari in Somers v. Digital Realty Trust Inc., a case the Ninth Circuit Court of Appeals decided this past March.1 This is significant because the Supreme Court may clarify how broad the term “whistleblower” is defined under the Dodd-Frank Act. via Supreme Court to Clarify Definition of “Whistleblower” Under […]
SEC’s Clayton Vows to Do More Exams with Less Funding – AdvisorHub
“This is an example of an area where flexibility is necessary,” Clayton said, according to his prepared remarks. “I expect that for at least the next several years we will need to do more each year to increase the agency’s examination coverage of investment advisers in light of continuing changes in the markets.” He did […]