US approaches // Contentious Regulatory

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.