Gouvernance

Gouvernance normes de droit Nouvelles diverses

Speech de la SEC : la dénonciation encensée

Bonjour à toutes et à tous, je vous informe qu’Andrew Ceresney (directeur de la division Enforcement à la SEC) s’est exprimé lors de la Sixteenth Annual Taxpayers Against Fraud Conference à Washington le 14 septembre 2016 (« The SEC’s Whistleblower Program: The Successful Early Years »). À cette occasion, M. Ceresney est revenu sur la dénonciation, son histoire et son succès actuel… ainsi que l’influence qu’a exercé le programme de dénonciation américain pour le Canada (Ontario et Québec) et l’Australie.

 

Whistleblowers provide an invaluable public service, often at great personal and professional sacrifice and peril. I cannot overstate the appreciation we have for the willingness of whistleblowers to come forward with evidence of potential securities law violations. I often speak of the transformative impact that the program has had on the Agency, both in terms of the detection of illegal conduct and in moving our investigations forward quicker and through the use of fewer resources.

 

Dans son allocution, M. Ceserney fournit des chiffres :

  1. The success of the program can be seen, in part, in the over $107 million we have paid to 33 whistleblowers for their valuable assistance, in cases with more than $500 million ordered in sanctions
  2. Since the inception of the program, the Office has received more than 14,000 tips from whistleblowers in every state in the United States and from over 95 foreign countries. What’s more, tips from whistleblowers increased from 3,001 in fiscal year 2012 — the first full fiscal year that the Commission’s Whistleblower Office was in operation — to nearly 4,000 last year, an approximately 30% increase. And we are on target to exceed that level this year. During fiscal year 2015, the Office returned over 2,800 phone calls from members of the public. By the end of fiscal year 2015, the Commission and Claims Review Staff had issued Final Orders and Preliminary Determinations with respect to over 390 claims for whistleblower awards.

 

À la prochaine…

Ivan Tchotourian