| 1 | A guide to PLC Financial Services' market conduct materials This practice note is a guide to PLC Financial Services' market conduct materials. | Practice note: overview | Maintained |
| 2 | Derivatives: overview (UK) An overview of derivatives, including an explanation of common types of derivatives, the key documentation and parties. The note also contains a link to a detailed note on derivatives in the United States. | Practice note: overview | Maintained |
| 3 | EU Emissions Trading Scheme (EU ETS) toolkit A guide to PLC Environment's materials on the EU Emissions Trading Scheme (EU ETS), which is now formally called the EU Emissions Trading System. | Practice note: overview | Maintained |
| 4 | FCA and FSA Market Watch tracker This resources document includes links to every issue of the FCA's (previously the FSA's) Market Watch newsletter (Market Watch), together with related PLC Financial Services legal updates, where available. A summary of the content of each issue of Market Watch is also provided. The information in this resources document is presented in reverse chronological order, for ease of reference. This resources document is not intended to be an exhaustive list of all material relevant to market conduct issues. | Practice note: overview | Maintained |
| 5 | FCA disciplinary and enforcement powers: a guide to content ... This practice note introduces and links to the series of practice notes on the FCA's disciplinary and enforcement powers written by Jane Tuckley, partner, and Nigel Barratt, Director of Research, from Travers Smith LLP's Financial Services and Markets department. | Practice note: overview | Maintained |
| 6 | Hot topics: EMIR This practice note provides a high level overview of the key regulatory developments at an EU level relating to EMIR (the Regulation on OTC derivative transactions, central counterparties and trade repositories (Regulation 648/2012)). The key primary source material table in this note contains links to key primary source material and related PLC Financial Services Legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. For information on the EMIR clearing requirement for OTC derivative contracts, see Practice note, EMIR: reqirement to clear OTC derivative contracts through a CCP. | Practice note: overview | Maintained |
| 7 | Hot topics: Exchange traded funds (ETFs) An outline of the regulatory initiatives at an international, EU and UK level relating to exchange traded funds (ETFs). This note also tracks developments in this area, and sets out the milestones for future development. It includes a key primary source material table which contains links to key primary source material and related PLC Financial Services legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. | Practice note: overview | Maintained |
| 8 | Hot topics: LIBOR regulation and enforcement An overview of the UK, EU and international reform of interest rate benchmarks, including the London Interbank Offered Rate (LIBOR). The note includes a discussion of the introduction of regulation for LIBOR under the Financial Services and Markets Act 2000 (FSMA), the further regulation and supervision of LIBOR activities by the Financial Conduct Authority (FCA), and enforcement actions by the FSA and other bodies relating to LIBOR, as well as financial misselling. The note also considers reviews of benchmarks being undertaken by EU and other international bodies. The key primary source material table in this note contains links to key primary source material and related PLC Financial Services legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. | Practice note: overview | Maintained |
| 9 | Hot topics: MAD II This practice note provides an overview of the European Commission's proposals to revise the Market Abuse Directive (2003/6/EC) (MAD), which were published on 20 October 2011. These proposals are known as MAD II (or MAD 2) and this note tracks their legislative progress and the latest developments. The key primary source material table in this note contains links to key primary source material and related PLC Financial Services legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. For practitioner analysis and comment on the key changes which would result from implementation of the MAD II proposals and the key issues and concerns arising (based on the text of the proposals as published by the Commission in October 2011), see Article, European Commission's MAD revision proposals: practitioner analysis and comment. For background to the Commission's MAD II proposals and an overview of its review of MAD, see Practice note, European Commission's Market Abuse Directive review. | Practice note: overview | Maintained |
| 10 | Hot topics: The AIFM Directive An overview of the key regulatory developments at an EU level relating to the Alternative Investment Fund Managers Directive (2011/61/EU) (AIFM Directive or AIFMD). The key primary source material table in this note contains links to key primary source material and related PLC Financial Services Legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. | Practice note: overview | Maintained |
| 11 | Hot topics: UK implementation of the AIFM Directive An overview of how the Alternative Investment Fund Managers Directive (2011/61/EU) (AIFM Directive or AIFMD) is being implemented in the UK by 22 July 2013. It includes details of the work carried out by the FSA, the FCA and HM Treasury, explains which firms will be affected, and contains a timeline showing future developments. The key primary source material table in this note contains links to key primary source material and related PLC Financial Services legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. For information about PLC materials on the AIFM Directive, see Practice note, A guide to the AIFM Directive: index. | Practice note: overview | Maintained |
| 12 | Insider dealing: Overview This practice note provides an overview of the UK criminal insider dealing regime under Part V of the Criminal Justice Act 1993. | Practice note: overview | Maintained |
| 13 | Market Abuse Directive: overview A brief introduction to the Market Abuse Directive and its implementation in the UK, with links to PLC resources on the Directive. | Practice note: overview | Maintained |
| 14 | Market abuse: overview This practice note provides an overview of the civil market abuse regime under sections 118 and 118A of the Financial Services and Markets Act 2000, supplemented by the FCA's Code of Market Conduct. | Practice note: overview | Maintained |
| 15 | Regulation of credit rating agencies: an overview This practice note outlines current and proposed European and international initiatives in relation to the supervision and regulation of credit rating agencies (CRAs), including developments relating to the European Regulation on CRAs (Regulation 1060/2009) (CRA Regulation). It also considers UK regulatory initiatives relating to CRAs. For more information on the CRA Regulation, see Practice note, EU Regulation on credit rating agencies and for more information on the proposed CRA III Regulation, see Practice note, CRA III. | Practice note: overview | Maintained |
| 16 | Short selling: key regulatory developments tracker This resources document contains links to key primary source material and related PLC Financial Services Legal updates concerning the regulation of short selling. It covers key UK, EU and international regulatory developments from June 2008 onwards, but it is not intended to be an exhaustive list of all material relevant to short selling. For an overview of the UK restrictions on short selling and international efforts to regulate short selling, see Practice note, Short selling: regulation and disclosure. | Practice note: overview | Maintained |
| 17 | Are you looking for EU law content on this topic? A practice note explaining where to find EU law content from a topic page. | Practice notes | Maintained |
| 18 | Ben Kingsley's banking and investment services columns Ben Kingsley is a partner in Slaughter and May's Financial Regulation Group. On a regular basis, Ben shares with PLC Financial Services subscribers his thoughts on topical developments in the banking and investment services sector. Ben's banking and investment services columns can be accessed from this practice note. | Practice notes | Maintained |
| 19 | Berwin Leighton Paisner's financial crime columns Every two months, Berwin Leighton Paisner LLP's Financial Crime Team, led by partners Daren Allen and Aaron Stephens, share their views on topical financial crime issues with PLC Financial Services subscribers. The team's comments can be accessed below. | Practice notes | Maintained |
| 20 | CESR guidance on inside information and insider lists A note outlining the second set of Level 3 guidance issued by CESR in July 2007 in respect of the Market Abuse Directive. Note that CESR was replaced by ESMA on 1 January 2011. | Practice notes | 20-Feb-2012 |
| 21 | CRA II This practice note provides an overview of CRA II (Regulation 513/2011), an EU Regulation that amended the CRA Regulation (Regulation 1060/2009) to transfer responsibility for the registration and supervision of EU credit rating agencies (CRAs) to the European Securities and Markets Authority (ESMA). For more information about the CRA Regulation, see Practice note, EU regulation on credit rating agencies. | Practice notes | Maintained |
| 22 | CRA III An overview of CRA III (also referred to as CRA 3 or CRA3). CRA III is a Regulation proposed by the European Commission in November 2011 that will amend the CRA Regulation (Regulation 1060/2009) to strengthen existing EU legislation on credit rating agencies (CRAs). CRA III has been adopted by the European Parliament and Council and now awaits publication in the Official Journal. CRA III will make significant amendments to the CRA Regulation on issues including the reliance of firms on external credit ratings, sovereign debt ratings, competition in the CRA industry, the civil liability of CRAs and the independence of CRAs. This note is currently being revised to reflect the text of the CRA Regulation that was adopted by the Council of the EU on 13 May 2013. | Practice notes | Maintained |
| 23 | Credit ratings An overview of credit ratings, how they work and the rating agencies' procedures and categories. This practice note also contains a link to a detailed note on credit ratings and credit rating agencies in the United States. | Practice notes | Maintained |
| 24 | Cross-border Application of Dodd-Frank Swaps Rules This Note details proposed CFTC interpretive guidance on the extraterritorial application of the swaps provisions of Title VII of the Dodd-Frank Act, as well as the corollary SEC proposal for treatment of non-US security-based swaps (SBS) including their application to non-US affiliates of US persons and to US affiliates of non-US persons. | Practice notes | Maintained |
| 25 | Derivatives trading: Inter-relationship between EMIR and ... This note summarises the inter-relationship between EMIR (the Regulation on OTC derivative transactions, central counterparties and trade repositories) (Regulation 648/2012) and the proposed Markets in Financial Instruments Regulation (MiFIR) relating to the trading of derivatives. | Practice notes | Maintained |
| 26 | Disclosure regime for contracts for differences The disclosure regime for contracts for differences (CfDs) (and other derivatives that raise the same regulatory issues) came into force on 1 June 2009. This practice note outlines the FSA's work on introducing this regime. It also tracks developments in this area and sets out the milestones for potential future development. | Practice notes | Maintained |
| 27 | Disclosure Rules: insider lists A note outlining the requirements under the Disclosure Rules on the preparation and maintenance of insider lists. | Practice notes | Maintained |
| 28 | EMIR: requirement to clear OTC derivative contracts through a ... EMIR (the Regulation on OTC derivatives, central counterparties and trade repositories) (Regulation 648/2012) requires certain classes of over-the-counter (OTC) derivatives contracts to be cleared through a central counterparty (CCP). The requirement will have a significant impact on a large number of counterparties that engage in derivatives trading, including both regulated and unregulated entities. This note considers the scope and implications of the EMIR clearing requirements. For an overview of EMIR and timing of its implementation see Practice note, Hot topics: EMIR. | Practice notes | Maintained |
| 29 | EMIR: risk mitigation requirements for uncleared OTC ... EMIR (the Regulation on OTC derivative transactions, central counterparties and trade repositories) (Regulation 648/2012) imposes risk mitigation requirements on parties to transactions in over-the-counter (OTC) derivatives that are not cleared by a central counterparty (CCP). The requirements will affect (to varying extent) all types of counterparties to uncleared OTC derivative trades, irrespective of whether they are regulated or unregulated. | Practice notes | Maintained |
| 30 | Enforcement: market abuse and insider dealing investigations This practice note considers the FCA's investigatory and enforcement powers in respect of the offences of market abuse and insider dealing. It is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 31 | EU Regulation on credit rating agencies In this practice note, Barnabas Reynolds, head of the Financial Institutions Advisory & Financial Regulatory Group at Shearman & Sterling LLP, provides an overview of the EU Regulation on credit rating agencies (Regulation 1060/2009) (CRA Regulation). The note reflects amendments to the CRA Regulation made by CRA II (Regulation 513/2011) which transferred responsibility for the registration and ongoing supervision of EU credit rating agencies to the European Securities and Markets Authority (ESMA). For information about the amendments to the CRA Regulation to be made by CRA III, see Practice note, CRA III. | Practice notes | Maintained |
| 32 | European Commission's Market Abuse Directive review Please note the law stated date of this practice note. It is not maintained. This practice note provides an overview of the European Commission's review of the Market Abuse Directive (2003/6/EC) (MAD) and the proposals it put forward in its June 2010 consultation on the review. For an overview of the Commission's legislative proposals to revise MAD (known as MAD II), which were published in October 2011, see Practice note, Hot topics: MAD II. For practitioner analysis and comment on the key changes which would result from implementation of the MAD II proposals and the key issues and concerns arising (based on the text of the proposals as published by the Commission in October 2011), see Article, European Commission's MAD revision proposals: practitioner analysis and comment. | Practice notes | 27-Oct-2010 |
| 33 | FCA prosecution of criminal offences In this practice note, Jane Tuckley, partner, and Nigel Barratt, Director of Research, from Travers Smith LLP's Financial Services and Markets department, provide an overview of the FCA's criminal prosecution powers. This practice note is part of a series of Travers Smith LLP practice notes on the FCA's disciplinary and enforcement powers. For more information, see Practice note, FCA disciplinary and enforcement powers: a guide to content written by Travers Smith LLP. | Practice notes | Maintained |
| 34 | FCA statutory objectives An overview of the statutory objectives of the FCA. The note also considers the other factors, apart from the statutory objectives, that the FCA will be required to consider when performing its functions. This note is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, A guide to the new UK financial services regulatory structure: index. | Practice notes | Maintained |
| 35 | FCA telephone taping rules An outline of the key aspects of the FCA's telephone taping rules (including the taping of mobile phones) in a set of frequently asked questions. It covers the requirement to record obligation in COBS 11.8 and explains the meaning of reasonable steps, as well as outlining retention requirements. | Practice notes | Maintained |
| 36 | FCA's transaction reporting requirements This practice note sets out the FCA's transaction reporting requirements following the implementation of the Markets in Financial Instruments Directive (2004/39/EC) (MiFID) on 1 November 2007. It also contains practical guidance on the steps firms should consider taking in order to ensure that they comply with these requirements and the systems and controls they should have in place. | Practice notes | Maintained |
| 37 | FCA: role, governance and powers An overview of the FCA, the UK financial services regulator responsible for the conduct of firms authorised under the Financial Services and Markets Act 2000 (FSMA). The FCA is also responsible for the regulation of conduct in retail and wholesale financial markets, supervision of the trading infrastructure that supports those markets and the prudential regulation of firms not regulated by the PRA. The note considers the roles and responsibilities of the FCA, its legal status, its governance arrangements and the accountability mechanisms that apply to it. This note is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, A guide to the new UK financial services regulatory structure: index. | Practice notes | Maintained |
| 38 | FSA's 2008 report on risks and challenges in the emissions ... This practice note provides an overview of the FSA's report, The emissions trading market: risks and challenges, which was published in March 2008. | Practice notes | 01-Apr-2008 |
| 39 | Historic market conduct practice notes This practice note contains links to PLC Financial Services' historic practice notes on market conduct. Historic practice notes relate to legislation, rules, regulations and/or guidance (and relevant proposals) that are no longer applicable as they have been superseded. They may, however, be of interest if it is necessary to consider the legal or regulatory position at a previous time. | Practice notes | Maintained |
| 40 | Insider dealing: FCA and FSA criminal prosecutions tracker This tracker covers insider dealing prosecutions launched by the FCA and the FSA. It contains summaries of individual prosecutions, with the links to press releases and other source material and, where available, related PLC Financial Services content, listed chronologically. This tracker does not include details of insider dealing prosecutions launched by regulatory bodies other than the FCA or the FSA, or details of arrests made in relation to FCA or FSA investigations prior to January 2010 which have not been followed by charges, or where the FCA or the FSA has not confirmed that specific arrests have been followed by charges. This tracker is not intended to be an exhaustive list of materials relating to FCA and FSA prosecutions for insider dealing. For an overview of the UK criminal insider dealing regime under Part V of the Criminal Justice Act 1993, see Practice note, Insider dealing: overview. | Practice notes | Maintained |
| 41 | Intention to float announcements (ITFs) An overview of intention to float announcements (ITFs) that outlines the key content of an ITF and the factors that may determine whether and when an ITF is published. The note also considers the main legal considerations that arise when publishing an ITF and practical steps to be taken to address these considerations. This note is relevant in the context of an IPO on the Main Market of the London Stock Exchange (including offerings that are concurrently extended into the US under Rule 144A of the US Securities Act of 1933, or sold outside the US pursuant to Regulation S under the Securities Act). The authors wish to thank Peter King, Partner at Weil, Gotshal & Manges, and Peter Castellon, Partner at Proskauer, for their assistance. | Practice notes | Maintained |
| 42 | LIBOR review and reform: overview for finance lawyers This note provides an overview of the proposals to reform LIBOR, focussing on those aspects that may impact existing and future finance agreements that refer to LIBOR. | Practice notes | Maintained |
| 43 | Magistrates' courts: jurisdiction and procedure This note contains links to a suite of materials, written by PLC Public Sector, on the jurisdiction of, and procedure in, the magistrates' courts. | Practice notes | Maintained |
| 44 | Market abuse and insider dealing This practice note outlines the background to the market abuse and insider dealing regimes under the Financial Services and Markets Act 2000, the Criminal Justice Act 1993 and the Financial Services Act 2012. It also identifies key PLC Financial Services content in this area. | Practice notes | Maintained |
| 45 | Market abuse: examples of market manipulation This practice note outlines the market manipulation market abuse offences under section 118 of the Financial Services and Markets Act 2000. It identifies guidance on, and examples of behaviour which will or may amount to, market manipulation. | Practice notes | Maintained |
| 46 | Market abuse: FCA enforcement, sanctions and defences This practice note outlines the FCA enforcement process relating to market abuse cases. It considers the sanctions which may be imposed and the defences available. | Practice notes | Maintained |
| 47 | Market abuse: FSA investigations This note sets out a number of key FSA investigations into behaviour constituting market abuse under section 118 and 118A of the Financial Services and Markets Act 2000. | Practice notes | 02-Jun-2010 |
| 48 | Market abuse: key elements This practice note considers the key elements and definitions of the UK market abuse regime under sections 118 and 118A of the Financial Services and Markets Act 2000 (FSMA). For an overview of the FSMA market abuse regime, see Practice note, Market abuse: overview. | Practice notes | Maintained |
| 49 | Market abuse: safe harbours and exceptions This practice note considers the safe harbours and exceptions to the civil market abuse regime under Part 8 of the Financial Services and Markets Act 2000. | Practice notes | Maintained |
| 50 | Market abuse: suspicious transaction reporting This practice note provides an overview of the suspicious transaction reporting requirements under Chapter 15.10 of the FCA's Supervision manual in respect of potential cases of market abuse. | Practice notes | Maintained |
| 51 | Market abuse: the types of behaviour This practice note considers in detail the types of behaviour which constitute market abuse under the civil market abuse regime in Part 8 of the Financial Services and Markets Act 2000, supplemented by the FCA's Code of Market Conduct. | Practice notes | Maintained |
| 52 | MiFID review consultation: markets and trading platforms This practice note is one of two notes summarising the European Commission's consultation proposals to amend the requirements of the Markets in Financial Instruments Directive (2004/39/EC) and its implementing legislation, which were published in October 2010 following the Commission's review of the effectiveness of the Directive. This note focuses specifically on the proposals that will impact on market structure and the way those markets, and those operating within them, function. It includes proposals to enhance requirements relating to the disclosure of trade transparency data, transaction reporting, the trading of derivatives on organised venues, oversight of derivatives trading and commodity derivative markets. This note does not comment on the Commission's legislative proposals to amend MiFID, which were published in October 2011. For details of the legislative proposals, see Practice note, Hot topics: MiFID II. | Practice notes | Maintained |
| 53 | Misleading statements, misleading impressions and market ... This note provides an overview of the offences of misleading statements, misleading impressions and market manipulation under Part 7 of the Financial Services Act 2012 (FS Act). | Practice notes | Maintained |
| 54 | Model Code This note summarises the Model Code in the UK Listing Rules. As part of its continuing obligations under the Listing Rules, a company that has a premium listing of equity shares must require compliance with the Model Code (or more rigorous dealing obligations) to restrict the ability of persons discharging managerial responsibilities from dealing in the company's securities. | Practice notes | Maintained |
| 55 | Payment Services Regulations 2009: Background, scope and ... A note providing an overview of the background to and scope of the Payment Services Regulations 2009 (SI 2009/209) (the PSRs), and explaining some key defined terms, such as: payment services; payment service provider (PSP); payment account; and payment instrument. The PSRs implement the Payment Services Directive (2007/64/EC) (PSD) in the UK. | Practice notes | Maintained |
| 56 | Payment Services Regulations 2009: FCA supervisory ... A note summarising the FCA's supervisory approach to the Payment Services Regulations 2009 (SI 2009/209) (PSRs), including its enforcement powers and complaint handling processes. The PSRs implement the Payment Services Directive (2007/64/EC) (PSD) in the UK. | Practice notes | Maintained |
| 57 | Payment Services Regulations 2009: Information ... A note summarising the conduct of business requirements contained in Part 5 of the Payment Services Regulations 2009 (SI 2009/209) (PSRs). The note focuses on the application of the information requirements on payment service providers (PSPs) under Part 5, including exemptions from the requirements and specific issues relating to framework contracts and single payment service contracts. | Practice notes | Maintained |
| 58 | Payment Services Regulations 2009: Rights and obligations ... A note summarising the core rights and obligations of customers and payment service providers (PSPs) under Part 6 of the Payment Services Regulations 2009 (SI 2009/209) (PSRs). The note focuses on the application of Part 6 of the PSRs, including exemptions from the requirements, and obligations relating to charges, payment instruments, carrying out a payment transaction, and specific obligations of the payee's PSP. | Practice notes | Maintained |
| 59 | Private equity and venture capital regulation This practice note outlines the FSA's supervisory work and European and international initiatives relating to the regulation of private equity and venture capital. The following multi-jurisdictional guides are also available to PLC Financial Services' subscribers: Private Equity Handbook and Venture Capital Handbook. They bring together a range of information on current cross-border issues and includes country-specific Q&A guides. Each jurisdiction is described in a separate chapter, written by one of the leading firms on the subject in that jurisdiction. | Practice notes | 31-Dec-2012 |
| 60 | Regulated activities: providing information in relation to a ... A note explaining when a person will be carrying on the regulated activities of providing information in relation to a specified benchmark and administering a specified benchmark, as well as the applicable exclusions and exemptions. The note focuses on the relevant provisions of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). The main issues are also highlighted, in the form of questions, in a decision tree. | Practice notes | Maintained |
| 61 | Regulation of credit rating agencies: key regulatory ... This resources document contains links to key primary source material and related PLC Financial Services Legal updates concerning the regulation of credit rating agencies (CRAs). It covers key UK, EU and international regulatory developments from January 2007 to December 2010, but it is not intended to be an exhaustive list of all material relevant to the regulation of CRAs. For an overview of initiatives relating to the regulation of CRAs, see Practice note, Regulation of credit rating agencies: an overview. | Practice notes | 31-Dec-2011 |
| 62 | Short Selling Regulation: sovereign debt and CDS A note on the EU Short Selling Regulation (236/2012) that came into force in the UK on 1 November 2012. The note gives an overview of the restrictions on short selling EU sovereign debt and entering into sovereign credit default swaps, and sets out the applicable exemptions and notification requirements under the Short Selling Regulation. | Practice notes | Maintained |
| 63 | Short selling: regulation and disclosure An overview of the UK, European and US restrictions on short selling relating to equity financial instruments. | Practice notes | Maintained |
| 64 | Stabilisation This note covers the stabilisation process, the statutory prohibitions against stabilisation, safe harbours and the FCA price stabilisation rules. | Practice notes | Maintained |
| 65 | UK Stewardship Code This note outlines the Financial Reporting Council's stewardship code setting out good practice for institutional investors on engagement with investee companies. | Practice notes | Maintained |
| 66 | US and EU OTC Derivatives Regulation: a Comparison of the ... This Note summarizes and compares the comprehensive regulatory framework for over-the-counter (OTC) derivatives in the US under the Dodd-Frank Act and in the EU under the European Market Infrastructure Regulation (EMIR) and review of the Markets in Financial Instruments Directive (MiFID II), with a particular focus on implications for end users of derivatives. | Practice notes | Maintained |
| 67 | US securities law: how the SEC's whistleblower rules under ... This note discusses how the US Securities and Exchange Commission's (SEC) rules implementing the whistleblower provisions of the US Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act) apply to non-US companies. The whistleblower rules offer potentially significant bounties to whistleblowers (including those outside the US) who provide the SEC with information about a US securities law violation that leads to a successful enforcement action. This note discusses briefly whistleblower protections under the US securities laws prior to the Dodd-Frank Act, key concepts under the SEC whistleblower rules, the impact of the SEC's whistleblower rules, and what actions companies should take in light of these rules. | Practice notes | Maintained |