美证监会奖励告密者1400万美元
美国证券交易委员会网站发表的声明
新浪财经讯 北京时间10月2日上午消息 美国证券交易委员会(SEC)周一宣布给予一位告密者1400万美元奖金，告密者提供的信息使委员会成功追回了巨额的投资者资金。
根据美国证券交易委员会声明，奖金来自此前根据多德-弗兰克法案(Dodd-Frank Act)建立的基金，并非来自美国证券交易委员会的年度拨款，也不是来自受害者的赔偿金。
这是美国证券交易委员会建立告密制度以来给出的最大一笔奖金。
美国证券交易委员会告密者办公室成立于2011年，得到了多德-弗兰克法案的授权。根据政策，如果告密者提供的信息最终导致美国证券交易委员会对肇事者处罚100万美元以上，那么告密者将可得到罚款的10%至30%。
美国证券交易委员会主席怀特(Mary Jo White)表示，“我们的告密者计划非常成功，给我们的调查提供了高质量的、极有价值的信息。我们希望类似的奖金能够激励更多人向我们提供信息。”
美国国税局也有类似奖励计划，曾对瑞银前雇员一次性奖励1.04亿美元，以表彰其揭发一项逃税计划，为国税局追回数十亿美元的税收。
以下为美国证券交易委员会声明全文：
2013-209
The Securities and Exchange Commission today announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds. Payments to whistleblowers are made from a separate fund previously established by the Dodd-Frank Act and do not come from the agency’s annual appropriations or reduce amounts paid to harmed investors.
The award is the largest made by the SEC’s whistleblower program to date。
The SEC’s Office of the Whistleblower was established in 2011 as authorized by the Dodd-Frank Act. The whistleblower program rewards high-quality original information that results in an SEC enforcement action with sanctions exceeding $1 million, and awards can range from 10 percent to 30 percent of the money collected in a case.
“Our whistleblower program already has had a big impact on our investigations by providing us with high quality, meaningful tips,” said SEC Chair Mary Jo White. “We hope an award like this encourages more individuals with information to come forward。”
The whistleblower, who does not wish to be identified, provided original information and assistance that allowed the SEC to investigate an enforcement matter more quickly than otherwise would have been possible. Less than six months after receiving the whistleblower’s tip, the SEC was able to bring an enforcement action against the perpetrators and secure investor funds。
“While it is certainly gratifying to make this significant award payout, the even better news for investors is that whistleblowers are coming forward to assist us in stopping potential fraud in its tracks so that no future investors are harmed,” said Sean McKessy, chief of the SEC’s Office of the Whistleblower. “That ultimately is what the whistleblower program is all about。”
The SEC’s first payment to a whistleblower was made in August 2012 and totaled approximately $50,000. In August and September 2013, more than $25,000 was awarded to three whistleblowers who helped the SEC and the U.S. Department of Justice halt a sham hedge fund, and the ultimate total payout in that case once all sanctions are collected is likely to exceed $125,000.
By law, the SEC must protect the confidentiality of whistleblowers and cannot disclose any information that might directly or indirectly reveal a whistleblower’s identity。 (明煜)