GUARDD, Inc.的动态

The Financial Conduct Authority approach to #enforcement could be changing – it’s a great time to reflect on what you do and how you do it. Holly has highlighted some ways of working and controls you may need to change too. https://lnkd.in/eysUiVnG

Check out the latest analysis of the CFTC’s anti-fraud and anti-manipulation enforcement authority by Partner Matthew Kulkin, Counsel Isabel Dai, and Associate Joshua Nathanson. Stay informed and stay ahead! #CFTC #legalanalysis

US SEC Awards More Than $37 Million to a Whistleblower. "The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower who provided information not previously known to the SEC and which significantly contributed to a successful enforcement action. The whistleblower also met with Enforcement staff and identified potential witnesses and documents, which conserved staff time and resources. “Today’s award illustrates the importance of the SEC’s whistleblower program, as the whistleblower’s information helped the agency return millions of dollars to harmed investors,” said Creola Kelly, Chief of the SEC’s Office of the Whistleblower. Payments to whistleblowers are made out of an investor protection fund, established by Congress, which is financed entirely through monetary sanctions paid to the SEC by securities law violators. Whistleblowers may be eligible for an award when they voluntarily provide the SEC with original, timely, and credible information that leads to a successful enforcement action. Whistleblower awards can range from 10 to 30 percent of the money collected when the monetary sanctions exceed $1 million. As set forth in the Dodd-Frank Act, the SEC protects the confidentiality of whistleblowers and does not disclose any information that could reveal a whistleblower’s identity. For more information about the whistleblower program and how to report a tip, visit?www.sec.gov/whistleblower." https://lnkd.in/eVSpPqJg

Ever wondered about the ins and outs of Blue Sky Laws? They're not just guidelines—they're essential for investor protection. Don't leave your compliance to chance. Let GUARDD answer your questions and guide your path. Dive into clarity at guardd.com ???? #ComplianceMatters

Ever wondered about the ins and outs of Blue Sky Laws? They're not just guidelines—they're essential for investor protection. Don't leave your compliance to chance. Let GUARDD answer your questions and guide your path. Dive into clarity at guardd.com ???? #ComplianceMatters

?? Navigating the FCRA maze? PlusOne Screening Solutions has your back! Our expert team ensures compliance with the latest regulations, protecting your business from legal pitfalls. Curious about how our 50 State Legislative Tracking Tool can simplify your compliance journey? Let's chat! How do you currently stay updated on FCRA changes? Read more here: https://hubs.la/Q02W_7Q60 #FCRACompliance #PlusOneSolutions #StayInformed

Ever wondered about the ins and outs of Blue Sky Laws? They're not just guidelines—they're essential for investor protection. Don't leave your compliance to chance. Let GUARDD answer your questions and guide your path. Dive into clarity at guardd.com ???? #ComplianceMatters

Ever wondered about the ins and outs of Blue Sky Laws? They're not just guidelines—they're essential for investor protection. Don't leave your compliance to chance. Let GUARDD answer your questions and guide your path. Dive into clarity at guardd.com ???? #ComplianceMatters

Ever wondered about the ins and outs of Blue Sky Laws? They're not just guidelines—they're essential for investor protection. Don't leave your compliance to chance. Let GUARDD answer your questions and guide your path. Dive into clarity at guardd.com ???? #ComplianceMatters

Ever wondered about the ins and outs of Blue Sky Laws? They're not just guidelines—they're essential for investor protection. Don't leave your compliance to chance. Let GUARDD answer your questions and guide your path. Dive into clarity at guardd.com ???? #ComplianceMatters