A Whistleblower in Your Midst: Preparing for a Post-Dodd-Frank World
07/21/2011 - 07/21/2011
As part of Dodd-Frank, Congress substantially revised whistleblower regulations to encourage persons to report violations of the federal securities and commodity laws. Dodd-Frank provides new incentives (a generous bounty) and protections for the whistleblower, and permits a whistleblower to circumvent a company’s internal whistleblower reporting system. Are you ready for these changes?
This seminar will provide a summary of the new whistleblower provisions under Dodd-Frank, discuss practical tips for drafting your firm’s procedures and provide advice on responding to whistleblower claims.
Joseph M. Mannon, Of Counsel, Investment Services Group, Vedder Price
Amy L. Bess, Shareholder, Labor and Employment Group, Vedder Price
Jeannette L. Lewis , Principal, Financial Services, Deloitte
Agenda
7:45 – 8:15 a.m. —Registration and Continental Breakfast
8:15 – 8:20 a.m. —Welcome and Introduction
8:20 – 8:35 a.m. —Pre-Dodd-Frank
- Sarbanes-Oxley Act—Up the Ladder Reporting
- State Law
8:35 – 8:55 a.m. —Dodd-Frank
- Who is a Whistleblower?
- Internal Reporting Optional
- Bounty Provision Explained
- Expanded Protection of Whistleblowers
8:55 – 9:15 a.m. —Practical Tips and Q/A
- What to expect post-Dodd-Frank (plaintiff’s lawyers are ready)
- Educating Employees
- Encouraging Internal Reporting
- Responding to Internal Complaints/Managing the Whistleblower Employee
- Responding to Complaints to Regulators
Vedder Price Boardroom
222 North LaSalle Street
22nd Floor
Chicago, Illinois 60601
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