Tuesday, June 1, 2010

Compliance Officers and "Whistleblowing" Retaliation

Can any Broker-Dealer, Investment Advisor Compliance Officers mention any experience you have had yourself or observed with retaliation for "Whistleblowing."

Are you aware of any study, survey or article regarding the extent to which compliance officers are concerned that they may be subjected to retaliation or other adverse action as a result of their activities?
This question was asked at the Society of Corporate Compliance and Ethics (SCCE) LinkedIn Group. As of June 1, there were 13 replies at the SCCE Group.

The Attorney who posted the question, surmised that the situation may be more prevalent than commonly known because - to no one's surprise - very few compliance officers want to talk about it openly.

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