What should your company be doing in response to increased enforcement emphasis by the Securities and Exchange Commission (SEC) regarding violations of its whistleblower protection rule?
Firms should regularly review employment documents to evaluate whether they contain any clauses that attempt to impede an employee’s ability to contact the SEC—e.g., clauses that restrict employees from communicating directly with the agency about potential securities law violations or that require an employee to report to the employer they have spoken to the SEC.
