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
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 Reprinted with permission Employment Litigation Reporter
Webinars
Whistleblower Initiatives: Implementing the SEC's Bounty Program (June 22, 2011)
Webinar - Whistleblower Initiatives: What You Need to Know (January 26, 2011)
Legal Alerts
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)
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
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.
Corporate Counsel Institute: Change Comes to Washington and What It Means for In-House Counsel, March 10-11, 2011
Sutherland Partner Cynthia M. Krus will be speaking at the 15th Annual Corporate Counsel Institute: Change Comes to Washington and What It Means for In-House Counsel, which is being held March 10-11, 2011. The institute will address major legislation, such as healthcare and financial regulatory reform, as well as various issues facing in-house counsel. Cynthia will participate in a panel discussion on "Financial Regulatory Reform: What Non-Financial Companies Need to Know About Implementation and Impact." This panel will discuss 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.
Contacts
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