Description
Learn how to ensure your clients or company remain compliant with the SECs rules and recommendations.
Nearly thirteen years ago, Congress gave the Securities and Exchange Commission legal authority to pay awards to whistleblowers who report federal securities law violations. Since then, the SEC has secured more than 6.3 billion in enforcement matters involving whistleblower information, paid out more than 1.3 billion in whistleblower awards (not including an eyepopping 279 million award the SEC made to a whistleblower in May 2023), and aggressively acted against employers accused of retaliation. These and other developments in the SECs Whistleblower Program raise serious challenges for public companies and other entities in financialservices industries subject to federal securities laws. This presentation will provide a detailed explanation of how the SECs Whistleblower Program works, including what the SEC looks for in a good whistleblower tip, a starttofinish description of the SECs whistleblowerclaim process, and the types of misconduct whistleblowers can report on. The topic also will evaluate developments likely to shape the programs future and detail best practices for internal compliance programs.
Date: 2023-07-24 Start Time: 1:00 PM ET End Time: 2:05 PM ET
Learning Objectives
* You will be able to describe how the SECs Whistleblower Program works.
* You will be able to explain the elements of a whistleblower claim.
* You will be able to discuss recent SEC enforcement trends.
* You will be able to review best practices for internal compliance programs.