Sarbanes-Oxley and Dodd-Frank Acts

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