TheCorporateCounsel.net

We have another “Timely Takes” podcast out now! In this episode, I discuss whistleblower compliance & enforcement with Troutman Pepper’s Sheri P. Adler and Mary Weeks, and they share their “top 10” tips for getting your existing & future agreements and policies into compliance with Rule 21F-17. Here are the topics we cover in this 22-minute podcast:

1. The SEC’s Rule 21F-17 enforcement history
2. Problematic conditions or limitations companies have tried to impose on whistleblower carveouts
3. Other problematic provisions the SEC has taken issue with
4. Why companies need to take a broad, holistic and consistent approach to compliance with Rule 21F-17
5. Other takeaways from the SEC’s Rule 21F-17 enforcement actions

For more, including specifics on drafting improvements, check out Sheri and Mary’s memo and webcast recording on these “top 10” tips.

If you’d like to join us for a podcast to share insights on a securities law, capital markets or corporate governance topic, please reach out to me or John at mervine@ccrcorp.com or john@thecorporatecounsel.net.

Programming Note: There will be no blog on Monday as our offices will be closed in observance of Martin Luther King day. We’ll return Tuesday.

– Meredith Ervine