News & Analysis as of

Ethics Dodd-Frank Wall Street Reform and Consumer Protection Act

Investigation Challenges

by Thomas Fox on

Today I conclude my three-part series on internal investigations with Jonathan Marks, a partner at Marcum LLP and a well-known internal investigation expert, by considering some of the challenges you may well face during an...more

Ninth Circuit Court of Appeals Adopts Broad View of Whistleblower Protection Under Dodd Frank

by NAVEX Global on

On March 8, 2017, the United States Court of Appeals for the Ninth Circuit held that the Dodd Frank anti-retaliation provisions protect individuals who complain internally and are not strictly limited to those individuals who...more

Why You Shouldn’t Relax on Pretaliation—Even if Policymakers Do

by NAVEX Global on

About two years ago, the Securities and Exchange Commission (SEC) made history when it brought the first “pretaliation” whistleblower enforcement action against KBR Inc., a technology and engineering firm in Houston. The...more

Modern Whistleblower Retaliation Risk Require a Modern Framework

by NAVEX Global on

If compliance officers ever needed one more sign about the importance of anti-retaliation programs, it arrived on September 29, 2016. On that day, the Securities and Exchange Commission (SEC ) fined a company that makes...more

Despite Privilege, GC May Pursue Whistleblower Retaliation Suit under SOX and Dodd–Frank

California’s USDC–ND ruled that Bio-Rad Laboratories’ former General Counsel may use privileged communications to prove his retaliatory-discharge case prosecuted under Sarbanes–Oxley and Dodd–Frank’s whistleblower...more

OCIE Staff to Examine Registered Advisers' Policies and Agreements for Whistleblower Rule Compliance

by Proskauer Rose LLP on

On October 24, 2016, OCIE published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions. The alert noted recent enforcement actions...more

Hallmark 8-Confidential Reporting and Internal Investigations

by Thomas Fox on

The FCPA Guidance has about as clear, concise and short a statement about hotlines than any other Tenet of an Effective Compliance Program. It states, “An effective compliance program should include a mechanism for an...more

Compliance is a Business

by Thomas Fox on

Compliance is a business. That statement should not come as a shock or even a surprise to anyone who has worked in the corporate world. Every part of a business should work towards doing business. Yet many compliance...more

Traders and Compliance Professionals Take Note: Phase One of New BIS “Global Code” Establishes “Best Practices” in the Foreign...

Limitations on Use of Confidential Information is Prominent in the New Standards Continuing Recent Enforcement Trend in the Commodities and Derivatives Markets - On May 26, 2016, the Foreign Exchange Working Group...more

Top Ten Resources for Engaging Your Board in Your Ethics & Compliance Program

by NAVEX Global on

Resources to help you engage your board of directors in the success of your ethics and compliance program. A successful board engagement strategy can help ethics and compliance professionals gain significant program...more

Washington Politics and Compliance

by Michael Volkov on

Consider this posting a warning to everyone in the corporate governance field. I am not known for being a chicken little and screaming “the sky is falling, the sky is falling.” I tend to be a realist when it comes to politics...more

King Arthur Week – The Round Table and Compliance Professionals and Lawyers as Whistleblowers – Part III

by Thomas Fox on

Today we use King Arthur’s Round Table as the entry into our topic. The Round Table is the famous table around which he and his Knights congregated. Its shape implies that everyone who sits there has equal status. Wace, who...more

Cultivating a Culture of Compliance eBook

by NAVEX Global on

A strong ethical culture is the foundation of a successful compliance program. It is also among the most difficult program elements to define, establish, and maintain over time. Produced by Compliance Week in cooperation...more

Do Your Confidentiality and Employment Agreements Violate SEC Whistleblower Protection Rules?

by NAVEX Global on

As the SEC takes aim at whistleblower “pretaliation” (attempts to muzzle whistleblowers via confidentiality and other employment agreements—overt or otherwise) ethics and compliance officers need to take practical steps to...more

Top Ten Ethics & Compliance Predictions and Recommendations for 2015

by NAVEX Global on

Get the inside track on the key ethics and compliance industry trends that will impact your business in 2015—and get the resources you need to help you plan for the year ahead—in our annual Top Ten Predictions and...more

Bridging the Week - October 2014 #4

by Katten Muchin Rosenman LLP on

Senior Fed Officials Encourage Financial Industry Firms to Improve Compliance Culture - Enhancing culture was the theme at a workshop on “Reforming Culture and Behavior in the Financial Services Industry” held at the...more

Government's Message to Corporate America — "We Want Your Whistleblowers!"

by Littler on

On September 22, 2014, the Securities and Exchange Commission's (SEC) Office of the Whistleblower announced that it had issued a $30 million bounty payment to a foreign whistleblower. This award is more than double the...more

White Collar Watch - January 2014

by Saul Ewing LLP on

In This Issue: - SEC’s Dodd-Frank Whistleblower Program Report shows best practices make for an effective compliance and ethics program - In unprecedented move, government seeks to extend the responsible...more

2014 Trends: #3 Whistleblowing and Retaliation: Both on the Rise

by NAVEX Global on

A continuation of our recent coverage on ethics and compliance trends to watch in 2014, we’re taking a deeper look at whistleblowing and retaliation trends today. ...more

How Does Your Organization Treat Whistleblowers?

by Thomas Fox on

As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more

The SEC’s Annual Report on the Dodd-Frank Whistleblower Program: Statistics Suggest Best Practices for an Effective Compliance and...

by Saul Ewing LLP on

The Securities and Exchange Commission’s Annual Report on the Dodd-Frank Whistleblower Program, released November 2012, provides the first complete year of data on the activities of the Office of the Whistleblower (“OWB”)...more

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