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Linklaters is a leading global law firm, supporting and investing in the future of our clients wherever they do business. We combine legal expertise with a collaborative and innovative approach to help clients navigate constantly evolving markets and regulatory environments, pursuing opportunities and managing risk worldwide. Disclaimer: Podcasts are not legal advice and the views expressed in this podcast are not the views of Linklaters LLP.
Episodes
Tuesday Jun 15, 2021
Tuesday Jun 15, 2021
Episode 3: Non-financial misconduct and whistleblowing
In this podcast episode, we discuss US legal and regulatory approaches to non-financial misconduct and whistleblowing in financial services. We look at some examples of the ways that US regulators have been addressing non-financial misconduct, starting with FINRA at the Federal level and outlining the relevance of Federal employment law and regulators. We examine the whistleblowing protections afforded by Federal law and also the position in the State of New York. Finally, we step through a worked example to bring it all together.
For more, read our report on non-financial misconduct and whistleblowing – the approach of regulators in 12 key jurisdictions.
Duncan Campbell (Managing Associate, Financial Regulation, London) hosts this discussion with Doug Davison (Partner, Dispute Resolution, Washington, D.C.) and Somin Lee (Associate, Dispute Resolution, New York City). Recorded in June 2021.