US SEC Whistleblower Programme for UK Lawyers: Eligibility, Rewards, Employer Obligations, Anti-retaliation Limits, DOJ Pilot

Published by a LexisNexis Employment expert

Practice notes

People in the UK submit more tips to the US Securities and Exchange Commission (SEC) than almost any other nation. Yet many workers and organisations here know little about the SEC and its whistleblower programme. As numerous UK companies may fall within the programme’s reach, employment practitioners in the UK should understand it to advise clients properly.

This Practice Note outlines the SEC whistleblower rewards programme, which permits individuals to report legal breaches to the SEC anonymously, and pays awards where their information results in a penalty exceeding US$1m. It sets out the broad categories of UK companies regulated by the SEC, who may take part in the rewards scheme, and the US protections available to whistleblowers who disclose securities law violations. It also considers issues for UK employers subject to SEC oversight and for their staff. For general UK whistleblowing guidance, and links to further detailed materials, see: Whistleblowing—overview.

The SEC

The SEC is a US agency whose principal role is to ensure that public companies...

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John Joy

FTI Law Plc

John Joy is an FCPA whistleblower attorney who specializes in assisting individuals report violations of the Foreign Corrupt Practices Act (FCPA). John started his career qualifying as a Barrister in Ireland before moving to New York to practice as a white-collar criminal defense attorney at an elite international law firm. In 2021, John founded FTI Law, a New York law firm specializing in representing whistleblowers who wish to report illegal activity involving bribery, corruption, sanctions violations and terrorist financing. Over the course of the last decade, John has worked all over the world representing clients all in multi-national investigations involving the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Federal Bureau of Investigation (FBI), the Serious Frauds Office (SFO) and the Financial Conduct Authority (FCA). John is an expert on the FCPA, whistleblower laws and securities laws, and...

Web page updated on 22/05/2026

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