Whistleblower Program

Count another case in which a compliance officer claims his employer fired him merely for doing his job. This time the officer is suing his ...

An employee could elect to go to the SEC with word of possible misconduct, bypassing your internal compliance program. But if the person alerts you ...

Last month the SECannounced it would not take enforcement action against a former senior executive at AXA Rosenberg Investment Management ($283M in AUM) because of ...

Among the hundreds of cases and numerous complaints received by the SEC's Office of the Whistleblower include tips from investment advisers and even some compliance ...

Some industry employees who have gone to the SEC's whistleblower office with a complaint have told the agency that they have been fired, isolated or ...

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 ...