Non-financial misconduct and whistleblowing in financial services are both attracting increasing regulatory scrutiny globally. But regulatory approaches differ - so firms with a global footprint need to manage unique regulatory impacts in each relevant jurisdiction.

We already have a podcast episode discussing the global trends.

Next, we are producing episodes in which we do deeper dives into the approaches in specific key jurisdictions. The first of these deals with US approaches. It features Doug Davison (partner, Washington, D.C.) and Somin Lee (associate, New York City). You can listen to it here.  

  • 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.  

Want more detail? Read the highlights from our report on the approach to non-financial misconduct and whistleblowing in 12 key jurisdictions.

And subscribe to the Linklaters podcast for more jurisdiction-specific podcast episodes on non-financial misconduct and whistleblowing as we produce them - as well as insights from across our practice areas and network.