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Results: 1-10 of 12

Sarbanes-Oxley Act applies to employees of private employer performing audit services for public company

  • Sherman & Howard LLC
  • -
  • USA
  • -
  • July 9 2012

From the enactment of the Sarbanes-Oxley Act in 2002, an issue has haunted private companies that serve publicly-traded companies, especially when their services relate to the type of corporate fraud SOX was intended to combat - does SOX's whistleblower protections extend to employees of contractors and subcontractors of public companies?

Rigorous compliance program supports the “rogue employee” defense to FCPA liability

  • Ulmer Berne LLP
  • -
  • USA
  • -
  • June 6 2012

Recent enforcement actions have confirmed the value of well-formulated and meticulously implemented corporate compliance policies in deflecting or mitigating the results of Foreign Corrupt Practices Act (“FCPA”) enforcement actions at the entity level

Top 10 whistleblower cases of 2011

  • Seyfarth Shaw LLP
  • -
  • USA
  • -
  • January 13 2012

Whistleblower litigation implicating a wide range of critical compliance issues continued to proliferate in 2011, and we saw a range of game-changing decisions

Global whistleblower hotline toolkit: how to launch and operate a legally-compliant international workplace report channel

  • White & Case LLP
  • -
  • Global, USA
  • -
  • November 15 2011

As corporate social responsibility and business ethics continue to grab our attention, ever-more-sophisticated “best practices” and compliance strategies emerge

Securities and Exchange Commission adopts final whistleblower rules under the Dodd-Frank Act; internal reporting encouraged but not required

  • Andrews Kurth LLP
  • -
  • USA
  • -
  • July 6 2011

On May 25, 2011, by a three-to-two vote of its commissioners, the Securities and Exchange Commission (the “Commission”) adopted final rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (as amended, the “Exchange Act”

Corporate officers beware: extension of Responsible Corporate Officer Doctrine (RCOD)

  • Hodgson Russ LLP
  • -
  • USA
  • -
  • May 3 2011

Troubles began for executives of drug and medical device companies when decades ago the Supreme Court invented the Responsible Corporate Officer Doctrine (RCOD) and made a corporate officer responsible for the actions of each and every employee on whom such officer exercises direct or indirect control, regardless of the size of the work force and the organizational structure and notwithstanding his or her own fault, intention, or participation in such act

Recent developments to retaliation claims under the Sarbanes-Oxley Act

  • Kramer Levin Naftalis & Frankel LLP
  • -
  • USA
  • -
  • February 2 2011

Section 806 of the Sarbanes-Oxley Act (2002) protects employees of public companies who 'blow the whistle' by reporting conduct that they reasonably believe constitutes a violation of federal law relating to financial, securities or shareholder fraud

SEC issues proposed Dodd-Frank whistleblower rules

  • Baker & McKenzie
  • -
  • USA
  • -
  • November 8 2010

On November 3, 2010, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules for implementing the whistleblower program established by Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”

New rules for corporate compliance programs: the 2010 amendments to the United States Sentencing Guidelines and the opportunity for organizations

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • November 1 2010

On November 1, 2010, two amendments to the United States Sentencing Guidelines (the "Guidelines") pertaining to organizations will become effective that offer organizations significant opportunities to guard against and mitigate the consequences of criminal conduct committed by employees or the organization's agents

A compensation plan that didn’t work

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • August 7 2010

HP's Chief Executive Officer, Mark Hurd, resigned after an investigation disclosed that Hurd had a "close personal relationship" with an H-P contractor hired by the Office of the CEO and that "Mark never disclosed that."

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