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2020-09-16 作者: 来源:千亿体育 已浏览:

   美东时间9月14日,美国证券交易委员会(SEC)宣布,向一位举报人提供超过1000万美元奖金,因其“不懈努力”揭露一家公司的不当财务行为,帮助SEC执行了一次成功的执法行动。

  SEC在一份声明中表示,这项奖励确认了该举报人“在调查过程中向调查小组提供广泛和持续的援助,包括识别证人和帮助工作人员了解复杂的事实模式和与调查事项有关的问题。”

  根据这份声明,该举报人帮助SEC制定了调查计划,并起草了最初的文件要求,尽管困难重重。

  SEC没有透露这位举报人和涉案公司的名字。根据美国《多德-弗兰克法案》的规定,SEC保护举报人的机密性,不会披露可能泄露举报人身份的信息。

  根据规定,在处罚超过100万美元的执法案件中,举报人有资格获得相当于罚没金额10%至30%不等的奖励。

  自2012年SEC推出举报人计划以来,已向94名举报人发放了总计超过5.2亿美元的奖金。所有的付款都来自国会设立的投资者保护基金,资金完全来自违反证券法的机构和个人向SEC支付的罚款。

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  附原文:

  Washington D.C., Sept. 14, 2020 —The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower whose information and assistance were of crucial importance to a successful SEC enforcement action.

  "This award recognizes the persistent efforts of the whistleblower to expose serious financial misconduct," said Jane Norberg, Chief of the SEC's Office of the Whistleblower. "This whistleblower also provided extensive and ongoing assistance to the investigative team over the course of the investigation, including identifying witnesses and helping staff understand complex fact patterns and issues related to the matters under investigation."

  The SEC has awarded approximately $520 million to 94 individuals 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 10-30% 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 information that could reveal a whistleblower's identity.

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