September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]
COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS
Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant
The most recent SEC announcement by OCIE correlates to the point that whistleblowers have an incentive to earn millions of dollars from your ineffective compliance program. The SEC has monetary incentives to draw out these employees and expose the trials and tribulations of your firm. If your firm is not in compliance with the SEC’s whistleblower regulations, Rule 21F-17, you could face enforcement action.
Lilian Colpas, examines the current rhetoric surrounding SEC’s whistleblower regulations and the SEC’s expectation of registered advisers and their compliance with the whistleblower rule.
Enter your information below to download your complimentary copy of Lilian Colpas' Compliance Bulletin: You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?.
ABOUT LILIAN COLPAS
Lilian Colpas is an accomplished compliance professional with over 12 years of global compliance experience, most recently as compliance officer for Harding Loevner in Bridgewater, NJ. Previously, Lilian held roles as a compliance officer for Davidson Kempner Capital Management and AIG Global Investments (now PineBridge Investments). Lilian also worked as a paralegal for Sidley Austin Brown and Wood and AIG.