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N.D. Illinois Dismisses Dodd-Frank Whistleblower Claim For Lack Of Complaint To The SEC
  • Proskauer Rose LLP
  • USA
  • June 12 2017

On June 7, 2017, the U.S. District Court for the Northern District of Illinois dismissed a whistleblower retaliation claim under the Dodd-Frank Act

Financial CHOICE Act of 2017 - House Passes Financial Regulatory Reform Legislation
  • Sullivan & Cromwell LLP
  • USA
  • June 9 2017

Late yesterday, the U.S. House of Representatives, voting almost entirely along party lines, passed H.R. 10, the "Financial CHOICE Act of 2017" (the

Financial Services Update, Vol. 12, Issue 22
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • June 5 2017

On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the

Funds Talk: June 2017
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • June 1 2017

FINRA has introduced an expansion of Rule 4210 (the Rule), effective Dec. 15, 2017, importing margin concepts into the world of mortgage-backed

Anti-Bribery and Corruption Review - June 2017
  • Clifford Chance LLP
  • Australia, OECD, United Kingdom, USA
  • May 31 2017

The spotlight on anti-bribery and corruption compliance programmes continues to intensify as a number of countries adopt measures designed to make it

Could This Maryland SOX Whistleblower Case Be a Sign of Things to Come?
  • Katz Marshall & Banks LLP
  • USA
  • May 25 2017

In Olekanma v. Wolfe, No. CV-DKC-15-0984, 2017 WL 784121 (D. Md. Mar. 1, 2017), Maryland’s federal district court granted a motion to dismiss claims

Ninth Circuit Widens Circuit Split on Breadth of Anti-Retaliation Whistleblower Provisions.
  • Jenner & Block LLP
  • USA
  • May 23 2017

On March 8, 2017, the Ninth Circuit issued a 2-1 decision holding that Dodd-Frank's anti-retaliation employment protections apply to whistleblowers

LeClairRyan Accountant and Attorney Liability Newsbrief Summer 2017
  • LeClairRyan
  • USA
  • May 17 2017

Compliance programs -- policies and procedures designed to prevent violations of laws, rules and regulations - have become a big deal

Ninth Circuit Sides with Whistleblowers on Scope of Dodd-Frank Protections
  • Katz Marshall & Banks LLP
  • USA
  • May 5 2017

In an encouraging development for whistleblowers, a prominent federal appellate court recently expanded anti-retaliation protections for workers in

The Financial Report, 02 May 2017, US Securities and Exchange Commission Developments
  • DLA Piper LLP
  • USA
  • May 2 2017

The SEC has extended the deadline to submit comments on its request for public input regarding the disclosures required by Industry Guide 3