Regulatory Compliance Association Reviews

Whistleblower Developments™

Practice Edge 02

Date: January 20, 2016
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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In the wake of legislative, judicial and administrative developments over the last several years, there were those who predicted that 2015 would be the “year of the whistleblower.” Looking back, they were not wrong. Perhaps the most significant development of the year was the SEC bringing its first enforcement action against an employer because of its requirement that employees keep investigative interviews confidential. This action was brought against the backdrop of numerous public pronouncements by the SEC assailing employer confidentiality agreements and the issuance of broad information requests on this subject to many employers. The SEC also brought its first action against an employer for allegedly engaging in retaliatory conduct prohibited by Dodd-Frank. In addition, the debate continued over whether Dodd-Frank protects only complaints to the SEC, or, more broadly, internal complaints as well. In Berman v. Neo@Ogilvy, the Second Circuit came down on the side of the SEC (and contrary to the Fifth Circuit’s Asadi v. G.E. Energy decision) in holding that Dodd-Frank protects internal complaints as well as complaints to the SEC.

This presentation will cover these key whistleblowing developments and others, along with strategies for addressing whistleblower complaints in your organization

Students will master the following at the conclusion of this session:

  • Review nature of whistleblower complaints since inception of program
  • Analyze the basis of incentive awards to date
  • Identify key whistleblowing developments
  • Recognize and apply strategies for addressing whistleblower complaints in your organization
  • Apply lessons learned to improve existing compliance programs, including with regard to:
  • Use of internal reporting mechanisms
  • Use of confidentiality agreements
  • Employ lessons learned to improve existing employment policies that help protect against retaliation claims

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Lloyd B. Chinn, JD, Partner, Labor & Employment Law, Co-Head, Whistleblowing & Retaliation Group, Proskauer

Guest Lecturers:

James Hartmann, Chief Compliance Officer, Arena Investors
Sigal Mandelker, JD, Partner, Proskauer
Simon Raykher, JD, General Counsel & Chief Compliance Officer, Kepos Capital

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