List the recipients that place a disclosure inside the opened whistleblower statutes
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- For a company employee, list the 18 U.S.C. 1514A(a)(1) recipients: a federal regulatory or law-enforcement agency, any Member of Congress or any committee of Congress, and a person with supervisory authority over the employee or another person working for the employer who has authority to investigate, discover, or terminate misconduct. Separately list a report to the SEC for the award program on the SEC page. Ask the lawyer which statute the disclosure is meant to use. Do not say the disclosure qualifies.
- What the lawyer must review
- 18 U.S.C. 1514A covers a company with a class of securities registered under section 12 of the Securities Exchange Act, or required to file reports under section 15(d), including a subsidiary or affiliate whose financial information is included in the consolidated statements, a nationally recognized statistical rating organization, and an officer, employee, contractor, subcontractor, or agent of such a company or organization. The protected report is about conduct the employee reasonably believes violates 18 U.S.C. 1341, 1343, 1344, or 1348, any SEC rule or regulation, or a federal law relating to fraud against shareholders. The SEC program page says the program is for specific, timely, and credible information about possible federal securities laws violations, and that an award may be paid for original information leading to an enforcement action in which over $1 million in sanctions is ordered, in a range of 10 percent to 30 percent of the money collected.
- Written for / version
- United States versionUS
Who does what
| Role | What they do |
|---|---|
| Assistance | Potential support includes organising research leads. Confirm the tool’s capability and permitted scope. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Trace every relied-on figure to its source, confirm dates and assumptions, and independently recalculate totals or derived amounts.
- Review operative clauses in the complete document, including definitions, cross-references, schedules and inconsistencies with the instructions.
- Obtain and inspect the relevant current official register or search result. Confirm identities, interests and the date and scope of the search.
- Verify the applicable jurisdiction and the version of each relevant law, rule or instrument in force at the material time.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.