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1-4 of 4
Keywords: Retaliation
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Journal Articles
EU whistleblowing rules to change in favor of whistleblowers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (1): 55–61.
Published: 25 November 2020
...) he/she would suffer retaliation or (ii) the competent authorities would be better suited to take effective action. The latter would, for example, be the case where: (a) the ultimate responsibility holder within the work-related context is involved in the breach; (b) there is a risk that the breach...
Journal Articles
SEC whistleblower retaliation – and the federal securities laws – after Digital Realty
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (3): 22–32.
Published: 06 September 2018
...Aegis Frumento; Stephanie Korenman Purpose The purpose of this paper is to analyze the Supreme Court’s recent decision in Digital Realty Trust, Inc v. Somers and its significance for whistleblower retaliation remedies and securities law interpretation generally. Design methodology approach...
Journal Articles
2017-2018 SEC whistleblowing review: insights and trends
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (2): 5–7.
Published: 02 July 2018
... in international tips; higher-value awards, including multiple awards in excess of $20m; and interest in punishing companies that discourage and/or retaliate against whistleblowers. In addition, the SEC recently issued its first-ever award under the Exchange Act’s “safe harbor” provision. Originality/value...
Journal Articles
SEC’s enforcement action against hedge fund adviser for retaliation against a whistleblower highlights challenges employers face
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (4): 7–10.
Published: 28 October 2014
...Bryan B. House; Pam L. Johnston; Courtney Worcester Purpose – To explain a recent enforcement action by the USA Securities and Exchange Commission (SEC) whereby the SEC brought its first enforcement action for retaliation against a whistleblower under the Dodd-Frank Wall Street Reform...
