Protection against retaliation: employees who disclose insider trading or assist investigations are shielded from adverse employment actions. Every person required to maintain a Code of Conduct must include protections for employees who file a Voluntary Information Disclosure Form or assist Board investigations into insider trading against discharge, demotion, suspension, threats, harassment or discrimination; protection applies even if the Board does not act on the information or the information is not deemed Original Information. Informants may seek judicial relief and employers who violate this chapter may face penalties, debarment, suspension or criminal prosecution by the Board, without the Board being required to order reinstatement or compensation, and without prejudice to other legal remedies.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Protection against retaliation: employees who disclose insider trading or assist investigations are shielded from adverse employment actions.
Every person required to maintain a Code of Conduct must include protections for employees who file a Voluntary Information Disclosure Form or assist Board investigations into insider trading against discharge, demotion, suspension, threats, harassment or discrimination; protection applies even if the Board does not act on the information or the information is not deemed Original Information. Informants may seek judicial relief and employers who violate this chapter may face penalties, debarment, suspension or criminal prosecution by the Board, without the Board being required to order reinstatement or compensation, and without prejudice to other legal remedies.
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