Timely Takes Podcast: 10 Tips for Whistleblower-Compliant Agreements

Sheri P. Adler is an executive compensation partner at Troutman Pepper. Sheri is particularly experienced in working with public companies, guiding her clients at the intersection of complex securities, disclosure, tax, and governance frameworks. Sheri co-founded the Executive Compensation and Securities Subgroup at Troutman Pepper – an internal group that fosters cross-collaboration between intersecting practice groups within the firm.

Mary Weeks is a litigation partner at Troutman Pepper. Mary co-leads Troutman Pepper’s Securities, Corporate Governance + D&O Defense Litigation Group. She represents corporations as well as their directors and officers in complex commercial, shareholder derivative, and securities class action litigation, in addition to handling books and records demands, and special committee or other regulatory investigations.

Topics:

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

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The views set forth in the podcast are the speaker's personal views and do not necessarily reflect those of their firm, company, institution, other organizations, or any of the clients with which they are associated.