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SEC:向两举报人发五千万美元重奖

来源:继民财经汇微信公众号   发布时间:2019-03-29  作者:继民财经汇   编辑:无忧草

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核心提示:SEC称,两名举报人在该机构调查一起公司不当行为的案件中协助提供了信息,因此获得总数5,000万美元的奖励。

美国证券交易委员会(Securities and Exchange Commission,简称SEC)称,两名举报人在该机构调查一起公司不当行为的案件中协助提供了信息,因此获得总数5,000万美元的奖励。

SEC在一份声明中表示,其中一名举报者(吹哨人)将获得1300万美元奖金,他提供的线报使得SEC对摩根大通采取了大规模执法行动。另一名举报人将获得3700万美元奖金,创下了SEC对举报人奖励史上第三大记录。出于保密意识,SEC没有透露获奖人员姓名。

据代表其中一名举报人的Labaton Sucharow LLP律师事务所称,这起案件和2015年12月摩根大通公司(JPMorgan Chase &Co.,JPM)的和解案有关。在这起案件中,总部位于纽约的摩根大通同意支付3.07亿美元,以了结未向财富管理客户披露利益冲突的指控。

Labaton Sucharow在此案中的代理律师Thomas表示:“当吹哨人从来都不是件容易的事,可想而知我的客户内心要做多少思想斗争,但SEC授予的这个历史性举报人奖和做出的相关执法行动再次证明,做正确的事是有回报的。”“多亏了美国证交会的举报人计划,如今企业举报人知道,委员会是站在他们一边的,匿名举报大大增加了大团圆结局的可能性。”

美国证券交易委员会举报计划由Dodd-Frank在2010年金融改革中建立,该计划必须保持对举报者身份的保密。如果举报人主动向SEC提供独特的信息使得执法行动取得成功,他们就有资格获得奖金。在罚没金额超过100万美元的情况下,给举报人的金额将达到所收金额的10%至30%不等。从2012年至今,SEC共给六十一位举报人发放了三亿七千六百多万美元的举报奖金。

美国国家举报人中心(National Whistleblower Center)联合主席Stephen Kohn表示,保密承诺鼓励了更多的举报人站出来。

SEC向国会提交的一份报告显示,举报人计划在2018财年获得了创纪录的5282条线索,比去年同期增长了18%,相比于2012年几乎翻了一番。

以下是SEC的奖金通告:

SEC Awards $50Million to Two Whistleblowers

FOR IMMEDIATE RELEASE

2019-42

Washington D.C.,March 26,2019—

The Securities and Exchange Commission today announced awards totaling $50million to two whistleblowers whose high-quality information assisted the agency in bringing a successful enforcement action.One whistleblower received an award of $37million and the other received an award of $13million.The $37million award is the Commission’s third-highest award to date after the $50million award made in March 2018to joint whistleblowers and more than $39million award announced in September 2018.

“Whistleblowers like those being awarded today may be the source of ‘smoking gun’evidence and indispensable assistance that strengthens the agency’s ability to protect investors and the capital markets,”said Jane Norberg,Chief of the SEC’s Office of the Whistleblower.“These awards show how critically important whistleblowers can be to the agency’s investigation and ability to bring a case to successful and efficient resolution.”

The SEC has now awarded approximately $376million to 61individuals since issuing its first award in 2012.All payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators.No money has been taken or withheld from harmed investors to pay whistleblower awards.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 10percent to 30percent of the money collected when the monetary sanctions exceed $1million.

The SEC protects the confidentiality of whistleblowers and does not disclose information that could reveal a whistleblower’s identity as required by the Dodd-Frank Act.

For more information about the whistleblower program and how to report a tip,visit www.sec.gov/whistleblowe

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