COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS
Highlight On Expertise: Lilian Colpas, Senior Compliance Advisor
The newest SEC announcement by OCIE correlates to the purpose that whistleblowers have an incentive to earn hundreds of thousands of {dollars} out of your ineffective compliance program. The SEC has financial incentives to attract out these workers and expose the trials and tribulations of your agency. In case your agency isn’t in compliance with the SEC’s whistleblower laws, Rule 21F-17, you may face enforcement motion.
Lilian Colpas, examines the present rhetoric surrounding SEC’s whistleblower laws and the SEC’s expectation of registered advisers and their compliance with the whistleblower rule.
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ABOUT LILIAN COLPAS
Lilian Colpas is an completed compliance skilled with over 12 years of world compliance expertise, most not too long ago as compliance officer for Harding Loevner in Bridgewater, NJ. Beforehand, Lilian held roles as a compliance officer for Davidson Kempner Capital Administration and AIG World Investments (now PineBridge Investments). Lilian additionally labored as a paralegal for Sidley Austin Brown and Wooden and AIG.