Blogs

Whistleblower Rule-Compliant Employment Documents: Here’s How

By Randi Morrison posted 12-10-2023 07:53 PM

  

Troutman Pepper’s “Top 10 Tips for Drafting Whistleblower Compliant Arrangements” builds on our recent report: “SEC Whistleblower Enforcement Risk Mitigation” with sound guidance as to what to include and omit from employee documentation (e.g., employment agreements, separation agreements, releases, employee handbooks, company policies) to avoid a successful SEC enforcement action for violation of the broadly interpreted Dodd-Frank whistleblower provision Rule 21F-17(a), which prohibits impediments to communicating with SEC staff about potential securities law violations.

See “Nondisclosure Agreements Get Trickier Under New SEC Scrutiny” (WSJ) and additional resources on our Whistleblowers page. 

                             This post first appeared in the weekly Society Alert!

0 comments
50 views

Permalink