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Searching Content indexed under Corporate and Company Law by Robert N. Holtzman ordered by Published Date Descending.
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Supreme Court Rules That Dodd-Frank's Anti-Retaliation Provision Does Not Protect Internal Whistleblowers
The United States Supreme Court decided in Digital Realty Trust, Inc. v. Somers (Feb. 21, 2018) that the anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) applies only to individuals who have reported a violation of the securities law to the Securities and Exchange Commission (SEC) and not to those who raise concerns only to their employers internally. The Court's decision resolved an important conflict in the federal Courts of Appeals.
United States
28 Feb 2018
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OCIE Examining Advisers' And Broker-Dealers' Whistleblower Compliance
The OCIE announced it is examining registrants' compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act).
United States
7 Dec 2016
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