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Searching Content indexed under Corporate/Commercial Law by Arian June ordered by Published Date Descending.
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Whistleblowers To Remain Prominent Fixtures In Securities Regulation
The SEC's Dodd-Frank Whistleblower Program provides monetary awards to eligi¬ble individuals who provide the agency with information that leads to an SEC enforce¬ment action...
United States
20 Jan 2017
2
Four Key SEC Whistleblower Trends — And How Companies Can Prepare For Them
In this article, the authors identify four recent trends in the SEC's whistleblower program: a significant uptick in whistleblower bounties; awards for mid-investigation tips; the more lenient "objectively reasonable" standard for whistleblower protection from retaliation; and a continued focus on confidentiality agreements.
United States
3 Nov 2016
3
SEC Examiners Focus On Investment Adviser And Broker-Dealer Compliance With Whistleblower Rules
The Risk Alert reflects the most comprehensive guidance from the agency to date regarding its expectations for corporate compliance with the Dodd-Frank whistleblower provisions.
United States
2 Nov 2016
4
New SEC Settlements Show Continued Focus On Whistleblower Protection And Severance Agreements
The Securities and Exchange Commission (SEC) continues to pursue enforcement actions against companies for whistleblower-related violations.
United States
12 Oct 2016
5
SEC Settlements Put Severance Agreements Under Increased Scrutiny
The US Securities and Exchange Commission (SEC) recently announced settlements with two companies for using severance agreements that allegedly violated Rule 21F-17.
United States
18 Aug 2016
6
Four Things Companies Should Know About The SEC's 2015 Whistleblower Report
The Securities and Exchange Commission (‘‘SEC'') recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
23 Dec 2015
7
Four Things Companies Should Know About the SEC's 2015 Whistleblower Report
The SEC recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
24 Nov 2015
8
Second Circuit Allows Whistleblower Retaliation Protection Without Reporting To SEC
Since 2011, the federal courts have focused on an inconsistency between two provisions in Section 21F of the Securities Exchange Act of 1934, as modified by Dodd-Frank.
United States
16 Sep 2015
9
SEC Probes Corporate Interactions with Whistleblowers
According to a February 25, 2015 Wall Street Journal report, in recent weeks the SEC has sent requests to a number of companies seeking years of nondisclosure agreements, employment contracts and other documents as part of an agency probe into the potential silencing of corporate whistleblowers.
United States
27 Feb 2015
10
Understanding The Global Reach Of U.S. Whistleblower Anti-Retaliation Protections
As the Securities and Exchange Commission’s Whistleblower Program continues to gain traction, reports of compliance concerns are likely to increase.
United States
15 Jul 2014
11
Whistleblower Working Group Members Publish Series On Mitigating Risks Under Dodd-Frank Act
Members of WilmerHale's Dodd-Frank Whistleblower Working Group recently published an article series in the January and April editions of Bloomberg BNA's Securities Regulation & Law Report.
United States
17 Apr 2014
12
Attorneys Caught In The Ethical Crosshairs: Secretkeepers As Bounty Hunters
Imagine you are counsel to a public company and are tasked with reviewing its annual 10-K. In the course of your review, you confer with a number of individuals in the finance and accounting functions and they report that a significant number of post-close adjustments were made at year end and these adjustments ..
United States
15 Apr 2014
13
US Supreme Court Upholds Broad Scope Of Sarbanes-Oxley Act Whistleblower Protection
Last week, the US Supreme Court issued an important decision addressing whether Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) (codified at 18 U.S.C. § 1514A) limits protection from retaliation to the employees of public companies, or if it also covers employees of contractors to a public company.
United States
11 Mar 2014
14
Don’t Tread On Whistleblowers: Mitigating And Managing Retaliation Risks — Part II
In the first installment of this Article published Jan. 13, we discussed, in Parts I and II, the broad antiretaliation provisions in SOX and in Dodd-Frank designed to protect employees from adverse employment actions taken in response to the employee's report of possible securities law violations within the organization and to the SEC.
United States
30 Jan 2014
15
Don’t Tread On Whistleblowers: Mitigating And Managing Retaliation Risks
As the Securities and Exchange Commission’s Whistleblower Program gains traction, reporting of compliance concerns is likely to increase.
United States
14 Jan 2014
16
Trends In Insider Trading Investigations Part II: How To Navigate Expert Networks
As discussed in Part I of this series on insider trading investigations, hedge funds and other institutional investors rely upon various sources of information in connection with their investment research activities.
United States
11 Dec 2013
17
Trends In Insider Trading Investigations Part I: How To Navigate Political Intelligence
Hedge funds and other institutional investors turn to various sources of information in connection with their investment research and diligence activities.
United States
5 Nov 2013
18
Dispatches From The Whistleblower Front: Five Common Pitfalls For Companies To Avoid
As the Securities and Exchange Commission's whistleblower program continues to build momentum, there is no question that companies are facing increasing numbers of reports of possible misconduct, both through internal reporting mechanisms and through whistleblower complaints and tips filed directly with the SEC.
United States
17 Sep 2013
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