News & Analysis as of

Confidentiality Agreements › Cease and Desist Orders

Freiberger Haber LLP

Enforcement News: SEC Charges Investment Advisor With Violating Whistleblower Protection Rule

Freiberger Haber LLP on

We have often written about the SEC’s whistleblower program and, in particular, the success of the program with respect to detecting and preventing violations of the federal securities laws. The success of the program...more

Sherman & Howard L.L.C.

The SEC Blows the Whistle on Improper Confidentiality Provisions

Sherman & Howard L.L.C. on

On Friday, September 29, 2023, the Securities and Exchange Commission (“SEC”) issued a cease and desist and $10 million civil money penalty against D.E. Shaw & Co, L.P. (“DESCO”). DESCO is a registered investment advisor...more

SECIL Law

Companies Should (Again) Review Releases They Sign With Departing Employees—The SEC Is Not Going To Lose Interest In This Issue

SECIL Law on

The U.S. Securities and Exchange Commission (“SEC”), in a couple of recent settled actions, continues to warn companies that the practice of requiring departing employees to sign comprehensive releases in return for...more

Goodwin

ITC 337 Quarterly Insider Q2 2020

Goodwin on

Goodwin’s 337 Quarterly Insider remains the premiere publicly available source for keeping up to date on all meaningful decisions coming out of the Commission. Please find below Goodwin’s insights on the months of April, May,...more

Thomas Fox - Compliance Evangelist

Tribute to Picasso: Phases of a Whistleblower Program

Thomas Fox - Compliance Evangelist on

Just as Picasso had several phases of his career, the lifecycle of the Goldman Sachs internal whistleblower program may be getting ready to have more phases....more

Littler

OSHA Joins the SEC in Attacking Confidentiality and Other Provisions in Private Settlement Agreements

Littler on

On September 15, 2016, the federal Occupational Safety and Health Administration (OSHA) released new policy guidelines for its review of private settlement agreements presented to the agency for approval in whistleblowing...more

Goodwin

SEC Enforcement Expands Scope of Prohibited Provisions in Employment-Related Agreements

Goodwin on

Summary - The U.S. Securities and Exchange Commission (SEC) announced its second significant enforcement action against an employer based on confidentiality and release provisions that the SEC asserts will discourage...more

Thomas Fox - Compliance Evangelist

Economic Downturn Week, Part II – The Golden Gate Bridge and Employment Separation – Hotlines and Whistleblowers During Layoffs

Thomas Fox - Compliance Evangelist on

I use the Golden Gate Bridge as an entrée to my continued discussion on the series on steps that you can use in your compliance program if you find yourself, your company or your industry in an economic downturn. Whether you...more

Genova Burns LLC

SEC Targets Confidentiality Agreements That Stifle Whistle-Blowing

Genova Burns LLC on

On April 1, 2015, the Securities and Exchange Commission (“SEC”) announced its first enforcement action and settlement against a company for violations of the whistleblower protection provisions of the Dodd-Frank Act...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Enforces Whistleblower Protection Rule Against Restrictive Confidentiality Agreement"

Skadden, Arps, Slate, Meagher & Flom LLP on

On April 1, 2015, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a company for a restrictive provision in confidentiality agreements that could deter employees from using the...more

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