News & Analysis as of

Internal Investigations Whistleblowers Enforcement Actions

A Review of Recent Whistleblower Developments

by Foley & Lardner LLP on

SEC Awards Bounty to Whistleblower, But Offsets Award for a Judgment Against the Whistleblower - The extent to which the SEC would reward whistleblowers, who themselves engaged in wrongdoing, has been the subject of...more

Cross-Border Investigations Update - November 2015

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases and enforcement trends, including developments in U.S. Foreign Corrupt Practices Act enforcement; the introduction of...more

Focus on China - October 2015

by McDermott Will & Emery on

Welcome to the third issue of Focus on China Compliance for 2015. According to the FCPA Blog’s October 2015 Corporate Investigations List, China leads the countries reported to be involved in FCPA investigations with 29...more

Latest Developments in Corruption Enforcement in China

The past quarter has been an active one for Chinese government enforcement activities, and the year ahead promises more of the same. Recent developments include: the strengthening of Chinese bribery laws, increased action...more

“You Know How to Whistle Don’t You?”—Whistleblowers Gain Even More Protection

by Fenwick & West LLP on

The SEC recently issued guidance specifying that whistleblowers do not first have to take their concerns to the SEC in order to be covered by the SEC’s anti-retaliation rule. The guidance clarifies that those whistleblowers...more

Securities Litigation and Enforcement Newsletter

by Fenwick & West LLP on

A CD or not a CD, That is the Question… That the Auditors Should Have Answered - A headline-grabbing SEC enforcement action last week against BDO USA and several of its national partners may lead audit firms to insist on...more

A Review of Recent Whistleblower Developments

by Foley & Lardner LLP on

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

Corporate Investigations & White Collar Defense - May 2015

It’s an Absolute Privilege to Meet You! Texas Supreme Court Rules That Internal Investigation Report Provided by Shell Oil to DOJ Enjoys “Absolute Privilege” - Why it matters: On May 15, 2015, the Texas Supreme Court...more

The Recent SEC Attack on Confidentiality Agreements: What Employers Need To Know and Do Now

by Reed Smith on

Introduction - • Employers typically impose confidentiality restrictions to protect trade secrets and confidential information, including when conducting internal investigations and in employee separation...more

Financial Services Weekly News Roundup - May 2015

by Goodwin on

In This Issue – More on the SEC Whistleblower Program. In the April 8 issue of the Roundup we reported on the SEC’s administrative proceedings based on findings that restrictive language in a form confidentiality...more

King Arthur Week – The Green Knight and the Protection of Whistleblowers – Part IV

by Thomas Fox on

We continue our King Arthur themed week with an exploration of one of the most interesting characters in the Arthur canon, The Green Knight, so called because his skin and clothes are green. The meaning of his greenness has...more

SEC Joins Agency Attack on Confidentiality Clauses in Employee-Related Agreements and Policies

In a recent enforcement action, the Securities and Exchange Commission (SEC) took action against a company for "using improperly restrictive language in confidentiality agreements with the potential to stifle the...more

Confidentiality Clauses Under Increasing Scrutiny by Federal Agencies

by Franczek Radelet P.C. on

The Securities and Exchange Commission (SEC) has become the latest federal agency to challenge the legality of employee confidentiality requirements. Earlier this month, the SEC instituted its first administrative proceeding...more

SEC Enforcement Gives Employers a Strong Incentive to Clarify That Their Confidentiality Agreements Do Not Preclude Reporting...

by Epstein Becker & Green on

The Securities and Exchange Commission? (“SEC”) has resolved its first enforcement action regarding a potentially overreaching confidentiality agreement following the “voluntary” revision of the agreement to state that it...more

Beware of Confidentiality Agreements with Employees; Make Sure They Don’t Stifle Whistleblowing

by Blank Rome LLP on

On April 1, 2015, the SEC announced its first enforcement action against a company for utilizing language in a confidentiality agreement which could discourage whistleblowing....more

Five Key Issues Confronting Financial Services Industry Employers

by Epstein Becker & Green on

Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

SEC Applies Whistleblower Protections to Confidentiality Arrangements

by Goodwin on

Public companies should review their confidentiality arrangements for any provisions that may result in unintended violations of the Dodd-Frank Act’s whistleblower protections....more

SEC Blows the Whistle on Confidentiality Agreements

by Foley & Lardner LLP on

Thanks to a recent enforcement action brought by the U.S. Securities and Exchange Commission (SEC), it may be time to review and revise the confidentiality provisions in employment agreements, severance agreements, employee...more

Three Thoughts about the SEC’s First “Pretaliation” Case

by Brooks Pierce on

I was on a flight last Wednesday when the SEC released the first of what whistleblower chief Sean McKessy has dubbed “pretaliation” cases against KBR, Inc. When I landed I had several emails from colleagues, asking, “Did you...more

Employer’s confidentiality agreement triggers SEC action and penalty - review and revise agreements now

by DLA Piper on

Consistent with its prior announcements that it will protect and encourage whistleblowers, the SEC recently announced its “first enforcement action” against a company for using allegedly restrictive language in an agreement...more

The SEC is Taking a Closer Look at Confidentiality Agreements to Ensure Potential Whistleblowers Not Restrained

by Benesch on

The Securities and Exchange Commission (“SEC”) announced on April 1, 2015 that it was instituting enforcement proceedings relating to the whistleblower provisions of the 2010 Dodd–Frank Wall Street Reform and Consumer...more

SEC Brings First Action Against Company for Potentially Stifling Whistleblowers With Confidentiality Statement

The Securities and Exchange Commission recently charged KBR, Inc., a Delaware corporation specializing in technology and engineering, with a Rule 21F-17(a) violation for using language in employee confidentiality statements...more

SEC Message to Government Contractors: Don't Limit Whistleblowing

by Reed Smith on

On April 1, the Securities and Exchange Commission (“SEC”) settled its first enforcement action against a company for violating whistleblower protections by including restrictive language in confidentiality agreements used in...more

Carefully Draft NDAs to Avoid Whistleblower Concerns

by DLA Piper on

In light of the SEC’s first enforcement action against a company for impeding whistleblower activity in violation of Rule 21F-17, employers may wish to consider clarifying in their agreements, policies and practices that...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

43 Results
|
View per page
Page: of 2
Cybersecurity

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.