The Latest State of Affairs on Whistleblower Claims
Image: A final rule from OSHA has smoothed the path for employees to file whistleblower retaliation claims under the Sarbanes-Oxley and Dodd-Frank acts and put companies in a more difficult spot to defend themselves. “The final rule reinforces that these types of anti-retaliation provisions are here to stay,” says Daniel ...
Related articles
-
ArticleFormer Capula CCO alleges misconduct and retaliation at the hedge fund firm
The former U.S. chief compliance officer of hedge fund firm Capula Investment Management has blown the whistle against his former employer, alleging he was terminated for raising concerns about improper expensing practices.
-
ArticleFINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
-
PremiumQ&A with former FCPA Unit chief Charles Duross on the DOJ’s monitorship policy
Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.