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Protecting Compliance Officials

Protecting Compliance Officials

No lawyers in the U.S. have done more to protect compliance officials, auditors and internal whistleblowers than Kohn, Kohn & Colapinto. 

In 1985, a KKC partner co-authored a leading amicus brief, successfully arguing for the protection of compliance officials.  See Kansas Gas & Electric v. Brock, 780 F.2d 1505 (10th Cir. 1985).  In 1986, a KKC attorney co-authored one of the first law review articles to set forth the arguments for protecting whistleblowers that only raised internal concerns.  KKC has confidentially represented key compliance officials, including Chief Compliance Officers for major multinational and publicly traded corporations, in both retaliation and whistleblower reward cases.

In both the Sarbanes-Oxley Act and the Dodd-Frank Act, KKC partners proposed language that was adopted by Congress protecting internal whistleblowers.  From 2010-11, the KKC partners spearheaded the campaign to ensure that compliance officials fully qualified for rewards under the Dodd-Frank whistleblower protections. Under rules that the KKC partners proposed, compliance officials can qualify for rewards under the Securities Exchange Act, the Commodity Exchange Act and the Foreign Corrupt Practices Act. KKC’s contribution towards ensuring the protection for internal whistleblowers under the SEC’s whistleblower reward rules was outlined in an article published on Westlaw: The SEC’s Final Whistleblower Rules & Their Impact on Internal Compliance (West Law Publishing, Oct. 2011).

RULE 3: Yes, You Are a “Whistleblower,” and RULE 11: "Beware of 'Hotlines'” in The Whistleblower’s Handbook: A Step-by-Step Guide to Doing What’s Right and Protecting Yourself provide insight to the complicated role of compliance officials in blowing the whistle on fraud and misconduct.

If you are a Compliance Official with knowledge of fraud or misconduct, and would like to know how Kohn, Kohn & Colapinto can help you with your case, please contact us by completing our Consultation Request Form.

For more information, see our resource page on the Federal Laws Governing Compliance Programs and Officials.

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