Morgan Lewis

Corporate Codes of Conduct Including Implementation Guidelines for the Whistleblower Provisions of SARBANES-OXLEY

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What you need to know about the newly required codes of conduct for

listed companies and the new whistleblower provisions of Sarbanes-Oxley.

• What conduct should a code of ethics govern and to whom should it apply?

• How should waivers under a code of ethics be granted and what are the disclosure

requirements?

• What roles should an audit committee and a general counsel play?

• How can a company encourage and monitor compliance with its code of ethics

and gauge its code’s effectiveness?

• What new policies, procedures and training programs should employers adopt to respond

to the new whistleblower provisions?

• Who is liable under Sarbanes-Oxley’s new whistleblower provisions and what activities are

protected?

• How should employers revise company policies and separation, settlement, arbitration and confidentiality agreements to comply with Sarbanes-Oxley?

• Under what circumstances can rogue brokers, compliance officers, or other employees

terminated for compliance violations be reinstated based on their whistleblower complaints before an evidentiary hearing is held?

• Under what circumstances can criminal penalties be imposed for discharging a

whistleblower?