“How to Avoid Risk of SEC Whistleblower Rule Violations in Connection with Employee-related Documents” from White & Case recaps recent enforcement actions by the SEC relating to the provision of the Dodd-Frank whistleblower rule that promotes employees’ communication with the SEC about potential securities law violations (Rule 21F-17(a)), and provides guidance to companies on how to avoid a similar fate.
See these prior reports: “SEC Action Broadly Interprets DC&P and Whistleblower Rules” and “Review Internal Whistleblower Reporting Procedures” and additional resources on Whistleblowers page.
This post first appeared in the weekly Society Alert!