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Searching Content indexed under Whistleblowing by Thomas W. White ordered by Published Date Descending.
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SEC Settles Two More Whistleblower Protection Cases
Continuing its efforts to bring enforcement actions for violations of whistleblower protections, the Securities and Exchange Commission recently settled two more cases.
United States
4 Jan 2017
2
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
3
SEC Whistleblower Protection Efforts Continue In Latest Settlements
The latest cases in a recent string of settled orders by the Securities and Exchange Commission again highlight the agency's resolve to prevent corporate actions that could chill reporting of possible legal violations.
United States
19 Oct 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 Focuses On Severance Agreement Impact On Whistleblowing
The Securities and Exchange Commission remains keenly focused on whether confidentiality provisions in corporate agreements, particularly severance agreements, can impede whistleblower reporting of potential legal violations to the SEC or other government agencies.
United States
30 Aug 2016
6
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
7
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
8
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
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