Sarbanes-Oxley and Dodd-Frank Acts
ON YOUR TEAM
Publicly traded companies and subsidiaries of publicly traded companies face increasing compliance and employee whistleblower challenges under the Sarbanes-Oxley and Dodd-Frank Acts, and our team of lawyers at Barnes & Thornburg can help. Congress enacted Sarbanes-Oxley in 2002 and amended it with Dodd-Frank in 2010 to protect investors and stem corporate fraud. But, Congress's effort to increase protections for employee/whistleblowers also created greater legal risks for employers.
Our team assists companies with preventing and defending employee-whistleblower claims under Sarbanes-Oxley and Dodd-Frank, including:
- Developing effective policies to encourage proper reporting procedures
- Working with business lawyers and accountants on audit procedures
- Advising clients on internal and external compliance
- Identification and investigation of qualified complaints
- Representing companies before the U.S. Department of Labor, which enforces the whistleblower provisions of Sarbanes-Oxley and Dodd-Frank
- Defending companies in federal court