Working for Justice

Tag: Sarbanes-Oxley Act

Section 806 of Sarbanes-Oxley: Protecting Those Who Complain of Fraud at Work

Posted June 3rd, 2021 by in Retaliation Law.

In the wake of the Enron and Arthur Anderson scandals, Congress enacted the Sarbanes-Oxley Act of 2002 (“SOX”) to address “a culture, supported by law, that discourage[s] employees from reporting fraudulent behavior not only to the proper authorities, such as the FBI and the SEC [Securities and Exchange Commission], but even internally.”  S. Rep. No. 107–146, […]

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Sarbanes-Oxley: Private or Public?

Posted May 28th, 2019 by in Retaliation Law.

Since its enactment in 2002, Sarbanes-Oxley (SOX) has left a large, albeit often controversial, footprint in the world of corporate internal controls. As the compliance world has adjusted to the post-SOX era, businesses and courts have observed a growing need to address the current and future SOX requirements of private companies. This has had particular […]

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What Legal Protections Do Employees Have Against Retaliation?

Posted June 12th, 2018 by in Whistleblower Law.

Retaliation is generally understood as punishment for taking an action or making a statement. Employees often are aware that they have some protections against retaliation by their employers, but are not clear on what protections the law provides. The short answer is that the law generally protects employees from retaliation only for conduct or activities […]

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The Supreme Court Clarifies the Definition of Whistleblower Under Dodd Frank: What You Need to Know

Posted March 2nd, 2018 by in Whistleblower Law.

Last week, the Supreme Court, by a 9-0 vote, issued an important ruling on the protections that the Dodd Frank Wall Street Reform Act offers to whistleblowers. The case, Digital Realty Trust Inc. v. Somers, determined that Dodd Frank protects from retaliation only those whistleblowers who complain about corporate fraud to the Securities Exchange Commission. […]

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Dual-Pronged Protections for Record-Keeping Whistleblowers

Posted August 14th, 2017 by in Whistleblower Law.

Because bribery cannot be conducted transparently without leaving a trail of breadcrumbs directly back to the wrongdoing, any scheme by a registered company to bribe foreign officials will almost certainly run afoul of the Foreign Corrupt Practices Act’s (“FCPA”) record-keeping provisions. However, the FCPA’s record-keeping provisions reach well beyond bribery. The FCPA delineates far-reaching rules […]

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