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Avoiding Whistleblower Retaliation Claims Under the Dodd-Frank Act
As a result of the recent financial crisis, Washington enacted significant financial reforms through the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank or the Act) (www.sec.gov/about/laws/wallstreetreform-cpa.pdf). In addition to the broad changes to the financial system put in place by Dodd-Frank (which are beyond the scope of this article), the Act created a whistleblower program designed to incentivize individuals to report federal securities law violations directly to, among others, the Securities and Exchange Commission (SEC). This article provides an overview of the Act's whistleblower and anti-retaliation provisions, as well as practical steps to help employers avoid retaliation claims.
Dodd-Frank's Whistleblower
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New York's Latest Cybersecurity Commitment
On Aug. 9, 2023, Gov. Kathy Hochul introduced New York's inaugural comprehensive cybersecurity strategy. In sum, the plan aims to update government networks, bolster county-level digital defenses, and regulate critical infrastructure.
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The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
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