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Attorney-Client Privilege and the Sarbanes-Oxley Act

Moore, Angelina N.
http://orcid.org/0000-0002-7319-3953
http://rave.ohiolink.edu/etdc/view?acc_num=ouhonors1461079780

Abstract Details

2016, Bachelor of Business Administration (BBA), Ohio University, Business Administration.
This research examines the interaction between the Sarbanes-Oxley Act of 2002 (SOX) and attorney-client privilege. Attorney-client privilege prohibits an attorney from revealing incriminating information about their client without permission. If an attorney breaks attorney-client privilege, they could lose their license. The other piece of the interacting obligations on attorneys is SOX. SOX is a federal law that has provisions in it to protect whistleblowers. Whistleblowers are people who report wrongdoing that their company commits. SOX requires attorneys to become mandatory whistleblowers if they witness financial fraud. The obligation to report wrongdoing but also to keep information confidential overlaps for in-house attorneys. This overlap is oftentimes convoluted and not defined by precedent or legislation. Previous in-house counsel SOX whistleblower cases are examined to explore this overlap. Exploring these cases allows for important information to be gleaned for attorneys pursuing court cases and for companies to keep these situations out of court. This information provides advice and insight into an otherwise overlooked and complex area.
Bonnie Roach, Dr. (Advisor)
62 p.
Business Administration; Ethics; Labor Relations; Law
Attorney-client privilege; Sarbanes-Oxley Act; SOX; whistleblowing

Recommended Citations

Citations

  • Moore, A. N. (2016). Attorney-Client Privilege and the Sarbanes-Oxley Act [Undergraduate thesis, Ohio University]. OhioLINK Electronic Theses and Dissertations Center. http://rave.ohiolink.edu/etdc/view?acc_num=ouhonors1461079780

    APA Style (7th edition)

  • Moore, Angelina. Attorney-Client Privilege and the Sarbanes-Oxley Act. 2016. Ohio University, Undergraduate thesis. OhioLINK Electronic Theses and Dissertations Center, http://rave.ohiolink.edu/etdc/view?acc_num=ouhonors1461079780.

    MLA Style (8th edition)

  • Moore, Angelina. "Attorney-Client Privilege and the Sarbanes-Oxley Act." Undergraduate thesis, Ohio University, 2016. http://rave.ohiolink.edu/etdc/view?acc_num=ouhonors1461079780

    Chicago Manual of Style (17th edition)

ouhonors1461079780
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© 2016, all rights reserved.
This open access ETD is published by Ohio University Honors Tutorial College and OhioLINK.