Purpose – To explain the impact of a recent decision by the USA Court of Appeals for the Second Circuit on the SEC’s “neither admit nor deny” practice on SEC enforcement matters after the practice was called into question by a federal district court judge. Design/methodology/approach –...

Purpose – This article serves as a timely alert to public companies and financial institutions of their potential risk exposure in light of the SEC’s aggressive interpretation of the Dodd-Frank whistleblower provisions. In particular, the article highlights the need of entities to ensure...