Reports filed though the Whistle-Blower Program provide tremendous value to the SEC’s enforcement efforts.
The SEC has secured over $975 million in enforcement matters involving whistle-blower information. Many investigations that led to successful actions were opened after the SEC received whistle-blower information. If a whistleblower’s concerns are not reported internally, the company loses the opportunity to conduct a timely and thorough investigation. This video reviews the need to reevaluate compliance programs with whistle-blowers in mind; and how to respond to potential whistle-blowers and investigating allegations.
Agenda
Faculty
Lex Urban
Cadwalader, Wickersham & Taft LLP
- Special counsel in Cadwalader’s White Collar Defense and Investigations Group
- Experienced in representing corporations and individual clients in a variety of criminal, civil and regulatory matters before the SEC, U.S. Department of Justice and other government agencies
- Author of several publications related to securities enforcement
- Received Outstanding Achievement Award from the Washington Lawyers' Committee for Civil Rights and Urban Affairs for his work in the field of DC Prisoners' Rights
- Helped draft a successful amicus curiae brief to the Supreme Court of the United States in Yates v. United States, construing Sarbanes-Oxley’s criminal provision for document destruction, 18 U.S.C. § 1519)
Kendra Wharton
Cadwalader, Wickersham & Taft LLP
- Associate in Cadwalader’s White Collar Defense and Investigations Group
- Advises clients in a broad range of criminal, civil and administrative proceedings and litigation, as well as in corporate internal investigations
- Regularly handles matters focused on alleged violations of the FCPA, the federal securities laws, the federal money laundering and asset forfeiture laws, and the False Claims Act
- Prior to practicing law, was a legislative aide in the United States Senate covering banking and financial services among other issues
Kyle De Young
Cadwalader, Wickersham & Taft LLP
- Partner in Cadwalader’s White Collar Defense and Investigations Group
- Securities enforcement expert and skilled trial lawyer, who advised high level officials in the U.S. Securities and Exchange Commission’s Enforcement Division
- Previously was senior counsel to co-directors of enforcement of the SEC Stephanie Avakian and Steven Peikin, and to former director of enforcement Andrew Ceresny
- Advised and assisted in the overall management of the SEC’s enforcement program, giving him a unique understanding of how the SEC makes enforcement decisions and approves settlements
- Possesses a sophisticated view of the SEC’s current areas of focus and the attitudes that will shape its priorities going forward
- Previously served as a trial lawyer in the Division of Enforcement’s Trial Unit
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