Dodd-Frank Whistleblower Rules Whitepaper Download

Dodd-Frank Whistleblower Rules

A Critical Look at Minimizing Your Compliance Risk

The passage of Dodd-Frank and the subsequent final whistleblower rules outlined by the SEC have created an interesting set of challenges and concerns for internal audit, compliance and legal professionals. Section 922 of Dodd-Frank, which added Section 21F to the Securities and Exchange Act of 1934, specifies that … a person who provides "original information" to the SEC of fraud or securities violations within the company that leads to an enforcement penalty of $1 million or more may be entitled to collect between 10 and 30 percent of the penalties of $1 million or more. The provision also delivers substantial retaliation protections for whistleblowers.

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