Lorman offers professional resources regarding COVID-19 and the 2020 Election

Available in:

OnDemand Course

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

Whistleblowers tips are on the rise - learn how to ensure your clients or company remain compliant with the SEC's rules and recommendations.

It has been almost eight years since the SEC issued rules implementing its Whistle-blower Program for individuals who report information involving violations of the federal securities laws. Since then, the SEC has secured more than $1.7 billion in monetary sanctions in enforcement matters involving whistle-blower information, has paid out more than $326 million in whistle-blower awards, and has taken enforcement action against employers over allegations of retaliation. These and other developments in the SEC's Whistle-blower 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 Whistle-blower 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 whistle-blowers.

Runtime: 89 minutes
Purchase Options

More Program Information

Why Lorman?

Over 34 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 WhistleBlower Program

  • Dodd-Frank Act's Expansion of WhistleBlower Protections
  • Creation of SEC's WhistleBlower Program

Requirements and Procedures of the SEC's WhistleBlower Program

  • Who Can Be a WhistleBlower?
  • How WhistleBlowers Are Rewarded
  • Legal Protections for WhistleBlowers

Internal Compliance and WhistleBlowers

  • Ways to Encourage Internal Reporting by Potential WhistleBlowers
  • Responding to Potential WhistleBlowers and Investigating Allegations
  • Re-Evaluating Compliance Programs With WhistleBlowers in Mind
Purchase Options

More Program Information

Why Lorman?

Over 34 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 Course

Applications have not yet been submitted for Delaware, Idaho, Kentucky, Maine, New Hampshire, Ohio, Oklahoma, South Carolina, and Wyoming CLE for this course. However, if you are interested in obtaining CLE for any of the listed states or have any additional credit questions please email us at [email protected] or call us at 866-352-9540.

This course was last revised on March 13, 2019.

Call 1-866-352-9540 for further credit information.

  • CA MCLE 1.5
     
  • Lorman Business Center, LLC. is a State Bar of California approved MCLE sponsor and this course qualifies for 1.5 CLE hours of participatory credit.
     
  • OR CLE 1.5
     
  • Approved for 1.5 CLE credits in Oregon.
     
  • WA CLE 1.5
     
  • This program has been approved by the Washington State Board of Continuing Legal Education for 1.5 hours of A/V credit under the Law & Legal Procedure category.
     

To earn each credit Lorman offers through the OnDemand learning platform, you need to watch 100% of the program. Also, for certain credits you will need to fulfill additional requirements which will be displayed on the "credits" tab when viewing the course.

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

Purchase Options

More Program Information

Why Lorman?

Over 34 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

  • 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

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
Purchase Options

More Program Information

Why Lorman?

Over 34 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.

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

  • Live Webinars
  • OnDemand Webinars
  • MP3 Downloads
  • Course Manuals
  • Audio Recordings*
  • Executive Reports
  • White Papers and Articles
  • Sponsored Live Webinars

Additional benefits include:

  • State Specific Credit Tracker
  • Members Only Newsletter
  • All-Access Pass Course Concierge

* For audio recordings you only pay shipping

Questions? Call 877-296-2169 to speak with a real person.

Sign Up Today
With This Course

Access to all training products for one year
$699/year

Unlimited Lorman Training

With the All-Access Pass there is no guessing what you will need for your yearly training budget. $699 will cover all of your training needs for an entire year!

Easy Registrations

Once you purchase your All-Access Pass you will never be any further than one-click away from attending any Lorman training course.

Invest in Yourself

You haven't gotten to where you are professionally by luck alone; it's taken a lot of hard work and training. Invest in yourself with the All-Access Pass.

Product ID: 405714
Published 2019
Purchase Options

Available in Multiple Formats

Purchase this course and learn on your schedule!