Eversheds Sutherland Regulatory

Reform Task Force -

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Whistleblower Response Team


The new SEC whistleblower incentive program, promulgated by Dodd-Frank and effective August 12, 2011, creates cash reward incentives for whistleblowers; enhances whistleblower protections; permits direct causes of action; increases possible damage awards; doubles the statute of limitations; establishes a short timeline for entities to address whistleblower claims before going to the SEC; and significantly broadens the scope of entities subject to the SEC's whistleblower provisions.

Resources

Articles

If a Whistle Blows In-House, Does it Still Make a Sound? Issues Regarding Internal Whistleblowers under Dodd-Frank (Part 2)
October 2016 Reprinted with permission from ALI CLE’s The Practical Lawyer

If a Whistle Blows In-House, Does it Still Make a Sound? Issues Regarding Internal Whistleblowers under Dodd-Frank (Part 1) 
August 2016 Reprinted with permission from ALI CLE’s The Practical Lawyer

Top 10 Employer Resolutions For 2016
January 12, 2016 Reprinted with permission Law 360

Trends in Whistleblower Retaliation Claims, and How Companies Can Steer Clear of Trouble
December 23, 2015 Reprinted with permission Corporate Counsel

10 Important Aspects of the CFTC Whistleblower Program
June 3, 2014 Reprinted with permission Law 360

DOL Whistleblower Rule Will Have Far-Reaching Effects
May 5, 2014 Reprinted with permission Law 360

Dodd-Frank Whistleblower Issues for Employers
Spring 2013 Partnering Perspectives

The Sensitive Question of When to Self-Report a Possible SEC Violation
February 1, 2013 Corporate Counsel

SEC Adopts Final Rules Implementing Whistleblower Provisions of Dodd-Frank
July 2012 Insights: The Corporate & Securities Law Advisor

Sutherland forms Response Team to Help Clients Address Whistleblower Claims in 2012
December 21, 2011

Blowing the Whistle: New SEC Rules Set the Stage for Increased Reporting of Potential Securities Law Violations 
September-October 2011  Reprinted with permission Practical Compliance & Risk Management for the Securities Industry
 
SEC’s Whistle-Blower Rules Effective Soon: What Employers Need to Know Now 
July 25, 2011  Reprinted with permission HR Magazine

Raising the Stakes: Effective 'Internal' Whistle-Blowing Programs are Essential in the Dodd-Frank Era 
January 11, 2011  Reprinted with permission Westlaw Journal Employment
   
Availability of Arbitration for Sarbanes-Oxley Whistle-Blower Claims
October 7, 2008  Reprinted with permission Employment Litigation Reporter

Whistle-Blower Actions Under Sarbanes-Oxley
September 2007


Legal Alerts

Legal Alert: Implementing the Whistleblower Immunity Notice Provision under the Recently-Enacted Federal Defend Trade Secrets Act
May 18, 2016

Legal Alert: SEC Issues Guidance Clarifying Anti-Retaliation Provision of Dodd-Frank Act
August 11, 2015

Legal Alert: “White Collar” Exemptions Defined and Delimited
July 9, 2015

Legal Alert: SEC Whistleblower Is Second Compliance Officer to Receive Award
May 4, 2015

Legal Alert: Largest SEC Whistleblower Award Could Have Been Larger
September 25, 2014

Legal Alert: The SEC Tackles Technicality
August 19, 2014

Legal Alert: Second Circuit Rejects Extraterritorial Application of Dodd-Frank’s Whistleblower Anti-Retaliation Provision
August 18, 2014

Legal Alert: SEC Waives Whistleblower Eligibility Requirements to Issue $400,000 Award
August 7, 2014

Legal Alert: SEC Launches First Whistleblower Retaliation Case Under Dodd-Frank
June 20, 2014

Legal Alert: SEC Issues $875,000 Whistleblower Award
June 9, 2014

Legal Alert: Department of Labor Issues Interim Final Employee Whistleblower Rule Under the Consumer Financial Protection Act
April 8, 2014

Legal Alert: SEC’s Office of the Whistleblower Warns Companies and Inside Counsel Against Using Employment Incentives to Deter External Whistleblowing
March 19, 2014

Legal Alert: Supreme Court Expands SOX Whistleblower Protection to Employees of Private Contractors of Public Companies
March 5, 2014

Legal Alert: Federal Courts Take Divergent Approaches to Jury Trials for Whistleblower Plaintiffs Under Dodd-Frank and Sarbanes-Oxley
January 9, 2014

Legal Alert: SEC Order Denying Whistleblower Claim Confirms Prospective Coverage and Limited Discovery in Dodd-Frank Bounty Proceedings
December 9, 2013

Legal Alert: Southern District of New York Rejects Extraterritorial Application of Dodd-Frank’s Whistleblower Anti-Retaliation Provision
October 24, 2013

Legal Alert: SEC Awards Whistleblower More Than $14 Million – Largest Award to Date
October 4, 2013

Legal Alert: High Court's Decision Next Term May Increase Sarbanes-Oxley Whistleblower Litigation
August 28, 2013

Legal Alert: Fifth Circuit Creates Split on Scope of Retaliation Protection for "Whistleblowers" Under Dodd-Frank
August 6, 2013

Legal Alert: Southern District of New York Endorses Extension of Dodd-Frank’s Retaliation Protections to Internal Whistleblowers
June 18, 2013

Legal Alert: Court Rejects Retroactivity of Dodd–Frank’s Whistleblower Remedies
April 18, 2013

Legal Alert: Federal Courts Split on Whether Dodd-Frank’s Bar on Arbitration of Whistleblower Retaliation Claims Under Sarbanes-Oxley Is Retroactive
October 9, 2012

Legal Alert: First Circuit Ruling Limits Whistleblower Protection Under Section 1514A(a) of the Sarbanes-Oxley Act to Employees of Public Companies
February 21, 2012

Legal Alert: CFTC To Subject Agricultural Swaps to the Same Regulatory Regime as Other Swaps, Creates a Whistleblower Program and Sets Rules and Registration Requirements for Swap Data Repositories
August 15, 2011

Legal Alert: Blowing Your Own Whistle: Trumpeting Your Whistleblower Policies in Response to the SEC's New Whistleblower Program
July 28, 2011

Legal Alert: U.S. District Court Retroactively Applies Dodd-Frank Whistleblower Restriction to Bar Arbitration Provision in Employment Agreement
March 11, 2011

Legal Alert: New Whistleblower Protections for Financial Service Employees
October 1, 2010

Legal Alert: Economic Stimulus Package Creates New Whistleblower Protections for Employees of Government Contractors
March 9, 2009

Legal Alert: Fourth Circuit Rejects SOX Whistleblower Appeal Based on Employee's Failure to Show Protected Activity
August 11, 2008

Legal Alert: U.S. Department of Labor ALJ Rejects Sarbanes-Oxley Whistleblower Claim
March 22, 2007

Past Events

ACLI 2011 Annual Conference, October 16-18, 2011. Sutherland Partners Allegra J. Lawrence-Hardy and James M. Cain are part of a panel entitled "Dodd-Frank Implementation" on Monday, October 17. The panel will discuss the implications for life insurers of:

  • Derivatives reform
  • The Volcker Rule
  • The Financial Stability Oversight Council and the designation of systemically important financial institutions
  • Treasury’s Federal Insurance Office
  • New whistleblower rules
  • Harmonization in the standard of care for financial intermediaries
  • An investment adviser SRO

Eversheds Sutherland is proud to be a Chairman-Level Sponsor of the conference, which brings together senior executives from life insurance and financial services companies to examine today's business and political issues. The program features more than 20 breakout sessions addressing legal, investment/financial, reinsurance, compliance, retirement security, advocacy, and legislative and regulatory issues.

Whistleblower Initiatives: Implementing the SEC's Bounty Program
June 22, 2011

Corporate Counsel Institute: Change Comes to Washington and What It Means for In-House Counsel, March 10-11, 2011

Eversheds Sutherland Partner Cynthia M. Krus spoke at the 15th Annual Corporate Counsel Institute: Change Comes to Washington and What It Means for In-House Counsel, was held March 10-11, 2011. The institute addressed major legislation, such as healthcare and financial regulatory reform, as well as various issues facing in-house counsel. Cynthia participated in a panel discussion on "Financial Regulatory Reform: What Non-Financial Companies Need to Know About Implementation and Impact." This panel discussed the SEC's new Say on Pay requirements, the Dodd-Frank Wall Street Reform and Consumer Protection Act's whistleblower provisions, and changes in derivatives regulation.

Whistleblower Initiatives: What You Need to Know
January 26, 2011

Contacts

Cynthia M. Krus Partner  Washington, D.C. +1.202.383.0218 CynthiaKrus@eversheds-sutherland.com
Holly H. Smith  Partner  Washington, D.C. +1.202.383.0245  HollySmith@eversheds-sutherland.com
John H. Walsh  Partner  Washington, D.C. +1.202.383.0818 JohnWalsh@eversheds-sutherland.com

 

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