Site Map - Banking/Financial Services

09/30/2010 - The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (.pdf) contains various provisions that offer incentives and strengthen protections for whistleblowers. Under the law, whistleblowers are directed to report fraud cases directly to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). For original information that results in more than $1 million in sanctions, the whistleblower can receive from 10 to 30 percent of the amount obtained by the SEC or CFTC. The award amount depends on how vital the information was in pursuing the case and the degree of assistance provided by the whistleblower. Awards will not be given to a whistleblower who was convicted of a crime related to the fraud he or she reported.

09/29/2010 - Companies looking to implement one of the most sensible security standards ever put forth should start here.

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08/31/2010 -

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07/28/2010 - The Court has upheld most of the Sarbanes-Oxley Act of 2002, enacted in response to the accounting scandals at Enron and other companies. However, the Court did overturn part of the law that required that members of the Public Company Accounting Oversight Board, established to monitor accounting firms, be fired only for “cause.” The Court said that the board members may be fired at will.

07/28/2010 - The financial reform bill signed last week by President Obama not only strengthens whistleblower protections but provides a financial incentive to blow the whistle against fraud on Wall Street.

07/27/2010 -

07/27/2010 -

06/30/2010 - RPCfirst seeks to duplicate the information-sharing and preparedness successes of Chicago’s financial sector. Find a group in your area or learn more about the model, which participants say can be duplicated in any industry, in any region.

06/29/2010 - Aside from a minor constitutional issue, the Supreme Court yesterday upheld the Sarbanes-Oxley Act of 2002.

06/28/2010 -