News & Analysis as of

Retaliation Cybersecurity Securities and Exchange Commission (SEC)

Constangy, Brooks, Smith & Prophete, LLP

Constangy’s 10 must-read articles of 2024

As we welcome 2025, here are 10 must-read Constangy bulletins and blog posts from 2024, highlighting insights that guided our readers through important legal developments, workplace issues, and the challenges in cybersecurity...more

Proskauer - Whistleblower Defense

Third Circuit Confirms Limits on Scope of Protected Activity Under SOX

On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated...more

Proskauer - Whistleblower Defense

Eastern District of Pennsylvania Grants Summary Judgment on SOX Claim

On July 18, 2019, the U.S. District Court for the Eastern District of Pennsylvania granted a defendant-employer’s motion for summary judgment on a SOX whistleblower retaliation claim, holding that the Plaintiff did not have...more

NAVEX

Preview of NAVEX Global’s 2015 Ethics and Compliance Virtual Conference

NAVEX on

As 2015 draws to a close (where did the time go?), the 2016 planning season is in full swing. You likely already have an idea of initiatives you’ll want to tackle, but taking your ethics and compliance program to the next...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Compliance Issues With Private Equity Fund Managers Remains a Concern With the SEC - In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers. At that time, the SEC...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

As reported in the May 2014 edition of Legal News: Investment Management Update, the SEC has made cybersecurity readiness a high-priority item to review when it conducts examinations of registered broker-dealers and...more

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