Protection of whistleblowers: contractual confidentiality cannot bar reporting securities law violations to the regulator. Regulation 7J voids any agreement term or Code of Conduct provision that bars non advocates from reporting actual, ongoing, or reasonably suspected securities law violations to the Board. It also prohibits threats or acts that impede communications with the Board, including enforcing confidentiality agreements (excluding client legal representation). Employers cannot require employees to notify them of filing a Voluntary Information Disclosure Form or to seek employer permission or guidance before or after such filing.
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 of whistleblowers: contractual confidentiality cannot bar reporting securities law violations to the regulator.
Regulation 7J voids any agreement term or Code of Conduct provision that bars non advocates from reporting actual, ongoing, or reasonably suspected securities law violations to the Board. It also prohibits threats or acts that impede communications with the Board, including enforcing confidentiality agreements (excluding client legal representation). Employers cannot require employees to notify them of filing a Voluntary Information Disclosure Form or to seek employer permission or guidance before or after such filing.
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