Internal investigations : whistleblower complaints / by Practical Law Securities Litigation & White Collar Crime.

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Internal investigations : whistleblower complaints / by Practical Law Securities Litigation & White Collar Crime.

[United States?] : [Thomson Reuters]

[St. Paul, Minnesota] : Thomson Reuters, [2025]-

1 online resource

Updated periodically

A practice note examining the complexities of conducting internal investigations triggered by a whistleblower complaint. This note explains why these investigations require special care due to the increased risks of employee retaliation claims and government scrutiny. It focuses on protections under the Sarbanes-Oxley Act (SOX) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), highlighting the differences in their anti-retaliation provisions and the incentives they create for employees to report issues directly to the government. This Note provides guidance on the key stages of an investigation, from the initial assessment of a complaint to determining whether in-house or outside parties should conduct it. It also addresses practical considerations such as communicating with the whistleblower, protecting their identity, providing Upjohn warnings during witness interviews, and documenting the investigation's findings. Finally, it explores the critical decision of whether to self-disclose misconduct to government authorities to potentially receive cooperation credit.

Description based on electronic file, viewed April 29, 2026.

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