Dodd-Frank of the North?

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Incentive-Based Whistleblower Program Coming to Canada   It will be of significant interest to US corporations that make securities filings with the Ontario Securities Commissions (“OSC”), that on February 3, 2015, the OSC published “Staff Consultation Paper 15-401”, which sets out a proposed framework (“the Program”) for a whistle blowing program not dissimilar from the…

SEC Charges Hedge Fund in First-of-its-Kind Whistleblower Retaliation Case

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Expert Guest Entry by Brian Dickerson, Originally Published on http://roetzelcompliance.blogspot.com/  The Securities and Exchange Commission (SEC) announced that it has charged a hedge fund advisory firm for retaliating against an employee who reported illegal trading activity to the SEC. This charge represents the first time the SEC has filed a case under the authority of the Dodd-Frank Act…