The recent Dodd-Frank regulations…continue the SEC’s efforts to protect attorneys who seek statutory rewards for reporting securities violations from retaliation by their corporate employers, or discipline by state bars for breaching confidentiality. However, land mines still exist for attorneys who come from states with more restrictive rules about preserving client confidences. To be safe, before an attorney blows the whistle on his or her employer in order to seek a reward under Dodd-Frank, it is important that he or she understand the full set of exceptions to the attorney-client privilege that have been created by these two laws, and the limits of those exceptions.
‘Enforcement 40’ for 2020
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