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Live Webinar

90-minute live streaming program
  • February 27
  • 1:00 - 2:30 pm EST

Also available as:

OnDemand Webinar

SEC's Whistleblower Bounty Program: Best Practices for Compliance, Investigations and Responding to Whistleblowers

February 27

Whistleblower tips are on the rise - learn how to keep your clients or company compliant with the SEC's program.

It has been almost seven years since the SEC issued rules implementing its Whistleblower Program for individuals who report information involving violations of the federal securities laws. Since then, the SEC has secured more than $975 million in monetary sanctions in enforcement matters involving whistleblower information, has paid out more than $160 million in whistleblower awards, and has taken enforcement action against employers over allegations of retaliation. These and other developments in the SEC's Whistleblower Program raise serious challenges for public companies, broker-dealers, investment advisers, hedge funds, credit rating agencies, and other entities that are subject to the federal securities laws. This topic will provide a detailed explanation of how the SEC's Whistleblower Program works and will carefully evaluate several legal developments that will likely shape the program's future. The content will also cover many best practices for internal compliance programs. This information is critical for senior executives, legal counsel, compliance and audit personnel, and others dealing with potential whistleblowers.

Learning Objectives

- You will be able to describe an overview of the SEC's Whistleblower Program.

- You will be able to discuss who can be a Whistleblower.

- You will be able to explain requirements and procedures of the SEC's Whistleblower Program.

- You will be able to review internal compliance and whistleblowers.

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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Overview of the SEC's Whistle-Blower Program
  • Dodd-Frank Act's Expansion of Whistle-Blower Protections
  • Creation of SEC's Whistle-Blower Program
Requirements and Procedures of the SEC's Whistle-Blower Program
  • Who Can Be a Whistle-Blower?
  • How Whistle-Blowers Are Rewarded
  • Legal Protections for Whistle-Blowers
Internal Compliance and Whistle-Blowers
  • Ways to Encourage Internal Reporting by Potential Whistle-Blowers
  • Responding to Potential Whistle-Blowers and Investigating Allegations
  • Re-Evaluating Compliance Programs With Whistle-Blowers in Mind
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

Live Webinar Registration

  • CFP 1.5
     
  • The Certified Financial Planner Board of Standards, Inc. has granted 1.5 hours of continuing education credit. Level of Knowledge: Intermediate.
     
  • AK CLE 1.5
     
  • Alaska attorneys may receive 1.5 hours of continuing legal education for completing this program. Please contact the Alaska Bar Association or go to www.alaskabar.org for details regarding reciprocity with other states.
     
  • AL CLE 1.5
     
  • This course or a portion thereof has been approved by the Alabama State Mandatory Continuing Legal Education Commission for a maximum of 1.5 hours credit.
     
  • AR CLE 1.5
     
  • This course has been approved for 1.5 hours of CLE by the Arkansas CLE Board.
     
  • Arizona CLE 1.5
     
  • The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. This activity may qualify for up to 1.5 hours toward your annual CLE requirement for the State Bar of Arizona.
     
  • CA MCLE 1.5
     
  • Lorman Business Center, Inc. is a State Bar of California approved MCLE sponsor and this course qualifies for 1.5 CLE hours of participatory credit.
     
  • CO CLE 2.0
     
  • This program may qualify for 2.0 credit hours through the Colorado Supreme Court Board of Continuing Legal and Judicial Education through reciprocity. This course is accredited in other jurisdictions such as New Jersey. To receive CLE credit for this program, a home study affidavit must be submitted to the Supreme Court Board of Continuing Legal and Judicial Education.
     
  • CT CLE 1.5
     
  • Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. This course has been approved for CLE credit in jurisdictions aside from CT and therefore it automatically meets the content and delivery requirements in Connecticut. Credit is based on a 60 minute credit hour and shall be awarded as follows: 1.5 CLE credit(s).
     
  • DE CLE 1.5
     
  • This program has been approved by the Delaware Commission on Continuing Legal Education for 1.5 hours of CLE credit.
     
  • FL CLE 2.0 including Business Litigation 2
     
  • This course has been approved by The Florida Bar for 2.0 hours of CLE credit. This course has been approved by The Florida Bar Certification Plan in the area of Business Litigation for 2.00 hours. Course classification: Intermediate level.
     
  • GA CLE 1.5
     
  • This program has been approved by the Georgia Commission on Continuing Lawyer Competency for 1.5 CLE hours.
     
  • HI CLE 1.5
     
  • This program was approved by the Hawaii State Board of Continuing Legal Education for 1.5 CLE credit hours.
     
  • IA CLE 1.5
     
  • SEC's Whistleblower Bounty Program: Best Practices for Compliance, Investigations and Responding to Whistleblowers is accredited under the regulations of the Iowa Supreme Court Commission on Continuing Legal Education. It is planned that this program will provide up to a maximum of 1.5 hours of credit toward the mandatory continuing legal education requirements under the Iowa rule.
     
  • IL CLE 1.5
     
  • This course was approved for a total of 1.5 hours of MCLE Credit by the Illinois MCLE Board.
     
  • KS CLE 1.5
     
  • This course has been approved by the Kansas Continuing Legal Education Commission for a maximum of 1.5 CLE credit hours.
     
  • KY CLE 1.5 (Pending)
     
  • Application for approval of this activity for a maximum of 1.5 credits is PENDING before the Kentucky Bar Association Continuing Legal Education Commission.
     
  • LA CLE 1.5 (Pending)
     
  • This program has been submitted to the Louisiana State Bar MCLE Committee for 1.5 CLE hours. Approval pending.
     
  • ME CLE 1.5
     
  • This course has been approved by the State of Maine Board of Overseers of the Bar. Lawyers who complete this course shall receive 1.5 hours of CLE credit under M. Bar R. 12.
     
  • MN CLE 1.5
     
  • This program has been approved by the Minnesota Board of Continuing Legal Education for 1.5 hours of credit.
     
  • MO CLE 1.8
     
  • This program has been approved by the Missouri Bar for 1.8 hours of CLE.
     
  • MS CLE 1.5
     
  • This program has been approved by the Mississippi Commission on Continuing Legal Education for a maximum of 1.5 credit hours.
     
  • MT CLE 1.5
     
  • This program has been approved by the Montana Commission of Continuing Legal Education for a total of 1.5 CLE credits.
     
  • NC CLE 1.5 (Pending)
     
  • ND CLE 1.5
     
  • This program has been reviewed by the North Dakota Commission for Continuing Legal Education and approved for 1.5 hours of CLE credit.
     
  • NE CLE 1.5
     
  • Lorman Business Center, Inc. is an accredited CLE sponsor in the State of Nebraska and certifies that this activity has been approved for 1.5 hours of CLE credit in the State of Nebraska.
     
  • NH MCLE 1.5
     
  • NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 90 Minutes.
     
  • NJ CLE 1.8
     
  • This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 1.8 hours of total CLE credit.
     
  • NM CLE 1.5
     
  • This program has been approved by the New Mexico Minimum Continuing Legal Education Board for 1.5 hours of credit.
     
  • NV CLE 1.5
     
  • This program has been approved by the Nevada Board of Continuing Legal Education for 1.5 CLE hours.
     
  • NY CLE 1.5 including Areas of Professional Practice 1.5
     
  • This course has been approved in accordance with the requirements of the New York Continuing Legal Education Board for up to a maximum of 1.5 credit hours in the area(s) of Areas of Professional Practice for 1.50 hours. Each hour may be counted only as satisfying one category of credit. Duplicate credit for the same hour of instruction is not permitted. This course qualifies for both established and newly admitted attorneys. Lorman Business Center, Inc. has a financial hardship guideline. Please contact customer service at 1.866.352.9539 for instructions on how to apply.
     
  • OH CLE 1.5
     
  • This course has been approved by the Ohio Supreme Court Commission on Continuing Legal Education for 1.5 CLE credit hours. Please note that in order to receive OH CLE credit for this audio conference you MUST use the streaming option and enable and complete the required progress checks.
     
  • OK CLE 2.0 including Ethics 0
     
  • This course has been approved by the Mandatory Continuing Legal Education Commission of Oklahoma for a maximum of 2.0 hours credit, of which 0.00 hours are credits covering legal ethics.
     
  • OR CLE 1.5 (Pending)
     
  • MCLE Credit in Oregon is pending.
     
  • PA CLE 1.5
     
  • This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.5 hours of substantive law, practice and procedure CLE credit.
     
  • RI CLE 1.5
     
  • This program has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for 1.5 hours of CLE credit.
     
  • TN CLE 1.5
     
  • This program has been approved as a distance learning format by the Tennessee Commission on Continuing Legal Education for a maximum of 1.5 hours of credit.
     
  • TX MCLE 1.5
     
  • This program has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1.5 credit hours. Lorman Education Services is an accredited sponsor, approved by the State Bar of Texas, Committee on MCLE. This program has been approved by the Texas State Bar College for 1.5 hours of CLE credit.
     
  • UT CLE 1.5
     
  • This program has been approved by the Utah State Board of Continuing Legal Education for 1.5 CLE hours.
     
  • VA CLE 1.5 (Pending)
     
  • This program has been submitted to the Virginia Mandatory Continuing Legal Education Board for 1.5 CLE credit hours.
     
  • VT CLE 1.5
     
  • This program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.5 hours of CLE credit.
     
  • WA CLE 1.5
     
  • This program has been approved by the Washington State Board of Continuing Legal Education for 1.5 hours of Law & Legal Procedure credit.
     
  • WI CLE 1.5
     
  • This program has been approved by the Board of Bar Examiners for 1.5 hours for use toward the Wisconsin Mandatory CLE requirement.
     
  • WV MCLE 1.8
     
  • This program has been approved by the West Virginia State Bar MCLE Commission for 1.8 MCLE hours.
     
  • NALA 1.5
     
  • This seminar meets the requirements of the Certifying Board for Legal Assistants of the National Association of Legal Assistants, for continuing legal assistant education credit required to maintain the CP (Certified Paralegal) credential for (s) hours.
     

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

Who should attend?

This live webinar is primarily designed for attorneys. Other legal, financial, and banking professionals may also benefit from attending.

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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Kyle De Young

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
Lex Urban

Lex Urban

Cadwalader, Wickersham & Taft LLP

  • Senior Associate 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

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
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 401917
Published 2014, 2018
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