Auditor and Compliance Whistleblower Protections

Auditor and Compliance Whistleblower Protections

New OSHA Guidance Clarifies Impermissible Restrictions On Whistleblowing (September 12, 2016)

2011 Compliance Rules Federal Sentencing Guide, Chapter Eight, Part B(2) – Effective Compliance and Ethics Program.

5 U.S. Code § 78j–1 – Audit requirements (Required under the Sarbanes-Oxley Act of 2002).

Compliance Rules under the Federal Acquisition Regulations (FAR)

48 CFR Ch. 1 – Subpart 3.9 Whistleblower Protections for Contractor Employees.

48 CFR Ch. 1 – Subpart 3.10 Contractor Code of Business Ethics and Conduct.

48 CFR Ch. 1 – 52.203–13 Contractor Code of Business Ethics and Conduct.

Sarbanes-Oxley (SOX) Rules of Professional Responsibility

17 C.F.R. 205 – Standards of Professional Conduct for Attorneys.

How Auditors, Directors and Compliance Officials can Qualify for Whistleblower Awards

The SEC’s Final Whistleblower Rules & Their Impact on Internal Compliance, Stephen Kohn (West Law Publishing, Oct. 2011).

17 C.F.R. part 240.

Important Publications

Transforming Compliance: Emerging Paradigms for Boards, Management, Compliance Officers, and GovernmentMichael D. Greenberg, Rand Center for Corporate Ethics and Governance (2014).

Culture, Compliance, and the C-Suite: How Executives, Boards, and Policymakers Can Better Safeguard Against Misconduct at the Top, Michael D. Greenberg, Rand Center for Corporate Ethics and Governance (2013)

The SEC’s Final Whistleblower Rules & Their Impact on Internal Compliance, Stephen Kohn (West Law Publishing, Oct. 2011).

For Whom the Whistle Blows: Advancing Corporate Compliance and integrity efforts in the era of dodd-frank, Rand Center for Corporate Ethics and GovernanceMichael D. Greenberg, Rand Center for Corporate Ethics and Governance (2011).

Avoiding The Perils and Pitfalls of Internal Corporate Investigations: Proper Use of Upjohn Warnings, Jeffrey Eglash et al. (2010).

Impact of Qui Tam Laws on Internal Compliance: A Report to the Securities Exchange Commission, National Whistleblower Center (2010).

Directors as Guardians of Compliance and Ethics Within the Corporate Citadel: What the Policy Community Should Know, Michael D. Greenberg, Rand Center for Corporate Ethics and Governance (2010).

From Enron to Madoff: Why Many Corporate Compliance and Ethics Programs Are Positioned for Failure, Donna Boehme (2009).

Redefining the Relationship of the General Counsel and Chief Compliance Officer, Michael Volkov, CEO, The Volkov Law Group.

Major Cases

Brown & Root v. Donovan, 747 F2d 1029. – auditor not protected.

Kansas Gas & Elec. v. Brock, 780 F.2d 1505 – auditor protected.

Mackowiak v. University Nuclear, 735 F.2d 1159 – auditor protected.

Van Asdale v. International Game Tech.,  577 F.3d 989 – Attorney protected.

Willy v. ARB, 423 F.3d 483 – Attorney protected.

Relevant Posts

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