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The (POGO) Blog

June 13, 2017

By Susan Ervin

Financial Sector Oversight Will Be Harmed by New Legislation



Securities and Exchange Commission Building Legislation is moving through Congress that would put the Securities and Exchange Commission’s (SEC) invaluable whistleblower program in jeopardy.

Continue Reading Financial Sector Oversight Will Be Harmed by New Legislation

Topics: Financial Sector

May 30, 2017

By Neil Gordon

Trump Will Not Delay Launch of Retirement-Adviser Fiduciary Rule



Retirement Graphic Labor Secretary Alexander Acosta announced the Trump administration will not postpone the June implementation of a rule imposing a higher ethical standard on financial advisers. “Respect for the rule of law” compelled Secretary Acosta to allow the rule to start taking effect next week.

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Topics: Financial Sector

April 20, 2017

By Nick Schwellenbach

Financial Sector Whistleblower Safeguards: Failing the Reality Test?



Whistleblower retaliation Barclays has announced investigations by British regulators of its CEO’s efforts to identify a corporate whistleblower, in an apparent breach of bank policies and regulatory duties. In attempting to breach the anonymity of the whistleblower, the CEO jeopar

Continue Reading Financial Sector Whistleblower Safeguards: Failing the Reality Test?

Topics: Whistleblower Protections, Financial Sector

February 23, 2017

By Neil Gordon

Tracking Obama’s Corporate Crime Crackdown Coda



Violation Tracker logo over a backdrop of jail cells, original picture by Derek Key via Flickr Good Jobs First added to its Violation Tracker corporate misconduct database a flood of cases settled in the final weeks of the Obama administration, as well as enforcement data from nine more federal agencies.

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Topics: Government Accountability, Whistleblower Protections, Financial Sector, Contract Oversight

February 8, 2017

By Neil Gordon

Trump Orders Review of Wall Street Ethics Rule



Photo of a Wall Street Sign A forthcoming regulation that will protect consumers from unscrupulous retirement advisers may be in jeopardy after President Trump ordered the Department of Labor to review it.

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Topics: Financial Sector

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