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Best practices when handling whistleblower complaints

Author

Listed:
  • Salmon-Smith, Tracey

    (Partner, Faegre Drinker, USA)

  • Grannum, Sandra D.

    (Partner, Faegre Drinker, USA)

  • Linebaugh, Jesse

    (Partner, Faegre Drinker, USA)

  • Aryama, Vijayasri G.

    (Associate, Faegre Drinker, USA)

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.

Suggested Citation

  • Salmon-Smith, Tracey & Grannum, Sandra D. & Linebaugh, Jesse & Aryama, Vijayasri G., 2023. "Best practices when handling whistleblower complaints," Journal of Financial Compliance, Henry Stewart Publications, vol. 7(1), pages 46-52, October.
    • Handle: RePEc:aza:jfc000:y:2023:v:7:i:1:p:46-52
    as

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    More about this item

    Keywords

    whistleblower; whistleblower complaint; regulatory; regulatory investigation; internal investigation; internal complaint; compliance;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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