Without a bright line requirement of an SEC contact to trigger whistleblower status, employers may not learn until after termination that an employee claims to be a whistleblower. Employees often raise internal questions,...more
3/17/2017
/ Anti-Retaliation Provisions ,
Dodd-Frank ,
Interlocutory Appeals ,
Internal Reporting ,
Motion to Dismiss ,
Retaliation ,
Rule 21F ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
The fourth anniversary of the Dodd-Frank Act has prompted renewed discussion over the effectiveness of the legislation. Legislators continue their debate over the Financial Stability Oversight Committee and the Volcker Rule....more
While the recent Dodd-Frank stress test results of the nation's 30 biggest banks might seem reassuring, prudent policy makers and practitioners should be wary. Like airport security, many are asking, ‘‘Are we...more
5/28/2014
/ Bank of America ,
Banks ,
Consumer Protection Act ,
Deposit Accounts ,
Dodd-Frank ,
Federal Reserve ,
IndyMac ,
Lehman Brothers ,
Risk Assessment ,
Risk Management ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Stress Tests