Best practices when handling whistleblower complaints

Tracey Salmon-Smith, Sandra D. Grannum, Jesse Linebaugh and Vijayasri G. Aryama
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Tracey Salmon-Smith: Partner, Faegre Drinker, USA
Sandra D. Grannum: Partner, Faegre Drinker, USA
Jesse Linebaugh: Partner, Faegre Drinker, USA
Vijayasri G. Aryama: Associate, Faegre Drinker, USA

Journal of Financial Compliance, 2023, vol. 7, issue 1, 46-52

Abstract: This paper is intended to serve as an initial guide for members of public companies on creating company whistleblower policies and procedures for the investigation of employee whistleblower complaints. Companies should establish clear internal policies for how employees can make whistleblower complaints, who should receive those complaints, how to investigate those complaints (whether internally or externally) and how the results of the investigation should be reported or shared with others.

Keywords: whistleblower; whistleblower complaint; regulatory; regulatory investigation; internal investigation; internal complaint; compliance (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2023
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