Whistleblower Program

Your firm should make clear to its employees that retaliation against whistleblowers is strictly prohibited. That's one of several points emphasized in a new PricewaterhouseCoopersreport ...

Two employees who sued under Sarbanes-Oxley (SOX) alleging Fidelity retaliated against them for blowing the whistle on mutual fund fraud saw their case dismissed in ...

The tips came in from as far away as China. Congress ordered a yearly accounting of the SEC's new whistleblower program and last week the ...

Much has been made of the SEC's new whistleblower rule and new protections against firms retaliating against those who raise alleged securities violations to the ...

Click here to open a Word file that is an example of a whistleblower policy in response to the SEC's 2011 whistleblower rule. This example ...

Ironically, the very week the new Dodd-Frank whistleblower rule took effect (IA Watch, Aug. 15, 2011) the SEC finds itself under scrutiny for allegedly routinely ...

The SEC has enhanced its whistleblower website now that the rule has taken effect (IA Watch, Aug. 8, 2011), making it easier for complainants to ...

Next Friday officially ushers in the SEC's new whistleblower rule, although it's more of a technicality because complainants could have qualified for financial rewards for ...

This month the SEC's new whistleblower rule takes effect. One of the scariest aspects of the rule is its prohibition against engaging in any retaliation ...

One CCO plans to discuss the whistleblower rule before the firm's compliance committee before deciding upon next steps