This conversation with
This conversation with Stephanie Avakian and Steven Peikin focuses on timely topics such as cyber, retail investor protection, and key enforcement cases and priorities.
Timed with the turn of the SEC's fiscal year, the discussion also provides insight into the division's agenda for the upcoming year.
Recorded October 3, 2018.
In fiscal year 2020, the
In fiscal year 2020, the SEC made a record 39 awards of approximately $175 million pursuant to its whistleblower reward program, which was created as part of the Dodd-Frank Act of 2010. Last September, the Commission voted to adopt amendments to the rules governing its whistleblower program in order to provide greater clarity to whistleblowers and to increase the program’s efficiency and transparency. At the same time, more and more companies are thinking about ways to create an ethical and compliance-oriented culture that discourages wrongdoing and encourages early reporting within the organization.
Join a distinguished panel of experts for a conversation about the SEC’s whistleblower reward program, recent changes to the program, as well as the program’s impact on enforcement and the nature and frequency of corporate whistleblowing. Panelists will offer advice to companies on implementing effective internal whistleblowing procedures and nurturing a more ethical “speak up” culture, and discuss the role of the board and C-suite in advancing these objectives.
- Erika Cheung, Co-Founder & Executive Director, Ethics in Entrepreneurship; Theranos whistleblower
- Robert Chestnut, Former Chief Ethics Officer, Airbnb; Author of Intentional Integrity: How Smart Companies Can Lead An Ethical Revolution
- Mary Inman, Partner, Constantine Cannon
- Steven Peikin, Partner, Sullivan & Cromwell; Former Co-Director of the SEC’s Division of Enforcement
Moderated by Joseph Grundfest, W.A. Franke Professor of Law and Business; Senior Faculty, Rock Center for Corporate Governance, Stanford Law School
Robinhood Sued And Fined
Robinhood Sued And Fined $65 Million By Sec! Is Robinhood Over?
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In this video I discuss Robinhood's Lawsuit and why you should switch to another brokerage. The SEC charged Robinhood with deceiving customers about how the stock trading app makes money and failing to deliver the promised best execution of trades. Robinhood agreed to pay a $65 million civil penalty, without admitting or denying SEC’s findings.
Video uploaded by: InvestKing
Switching out of robinhood asap