Mitigating the Impact of Dodd-Frank’s Whistleblower Provisions
Overview:
Since the enactment of the Dodd–Frank Wall Street Reform and Consumer Protection Act in 2010, almost every aspect of the nation’s financial services industry has been scrambling to meet considerable regulatory and legal challenges with the whistleblower provisions of the act.
In this Knowledge Group webcast, a panel of speaker experts and thought leaders will discuss the latest and the hottest issues related to the Dodd Frank Act whistleblower provisions. Some of the topics that will be covered are:
- Dodd-Frank's Whistleblower Provisions
- Challenges of the New Whistleblower Environment
- Preventative Measures
- And other up to the minute compliance guidelines update
This 2-hour LIVE webcast was specifically tailored to keep you abreast of the Dodd Frank Act updates. Join this course by clicking on the “Register” button below. Hurry as space is limited and as a bonus, early bird registrants will receive a substantial discount.
Agenda:
SEGMENT 1:
Kenneth B. Winer, Partner (Former Senior Counsel & Branch Chief, SEC Division of Enforcement),
Foley & Lardner LLP
- Whistleblower rules increase risk that the SEC will detect violations of the federal securities laws.
- Whistleblower bounty rules increase the importance of ensuring that your company’s internal compliance processes are effective.
- Whistleblower bounty rules also increase importance of ensuring that your company has procedures in place that will enable it to:
- follow up promptly on evidence of a material violation of the federal securities laws
- provide comfort to internal whistleblowers that your company has responded effectively to the whistleblower’s complaint
SEGMENT 2:
Jonathan L. Sulds, Shareholder & Co-Chair, Labor & Employment Practice,
Greenberg Traurig LLP
- The Dodd Frank whistleblower rules call for taking a company's cultural inventory
- Effective compliance programs and internal complaint procedures are key to risk mitigation
- Dodd Frank retaliation rules have real teeth
- Whistleblower rules increase risk that the SEC will detect violations of the federal securities laws.
- Whistleblower bounty rules increase the importance of ensuring that your company’s internal compliance processes are effective.
- Whistleblower bounty rules also increase importance of ensuring that your company has procedures in place that will enable it to:
- follow up promptly on evidence of a material violation of the federal securities laws
- provide comfort to internal whistleblowers that your company has responded effectively to the whistleblower’s complaint
SEGMENT 3:
Jacob S. Frenkel, Chairman, Securities Enforcement, White-Collar Crime and Government Investigations Practice (Former SEC Enforcement Lawyer) ,
Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
- Mandatory nature of the award can wreak havoc on corporate compliance programs and undermine significant advances in corporate compliance and programs
- Creates cultural challenges, such as favoring a "silo mentality," within corporations and legal challenges, such as managing the "attorney-client privilege" for corporations
- Requires new approaches for corporations in dealing with employees and third parties
- SEC does not have the staff to field adequately the whistleblower claims and already has demonstrated a reluctance to close investigations
SEGMENT 4:
Richard Vestuto, Esq., Vice President – Client Advisory Services,
Merrill Corporation
- Enhancing legal protection through the Development & Implementation of Comprehensive eDiscovery Protocols
- How to effectively preserve data and documents if you're hit with a Whistle Blower suit
- How to approach the 26(f) Meet & Confer in a Whistle Blower suit
- Early Case Assessment and data forensics technologies and their use in Whistle Blower litigation
Who Should Attend:
- Senior Executives
- General Counsel
- Risk Executives
- Attorneys and Consultants who advise clients on FCA related issues
- Professionals under Forensic & Dispute Services
- Anti-Fraud Consultants
Jonathan L. Sulds is a shareholder in Greenberg Traurig’s New York office and co-chair of the firm’s Labor & Employment …
Richard Vestuto provides national leadership to Merrill’s Client Advisory Services. He is responsible for providing legal insight, best practices guidance, …
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
NONE
Course Code:
114158
Total Credits:
2.0 CLE
Login Instructions:
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SPEAKERS' FIRMS:
About Greenberg Traurig LLP
Greenberg Traurig’s growth to 1,800 lawyers and 32 offices is an example of the firm’s instincts for leveraging a changing marketplace. The need for lawyers to help clients navigate change continues to escalate. For GT, merging with other law firms to be in new markets overnight is not the way to respond to the market need. Preserving the firm’s “built for change” culture is.
Website: https://www.gtlaw.com/
About Foley & Lardner LLP
Foley & Lardner LLP provides award-winning business and legal insight to clients across the country and around the world. Our exceptional client service, value, and innovative technology are continually recognized by our clients and the legal industry. In a recent survey of Fortune 1000 corporate counsel, conducted by The BTI Consulting Group (Wellesley, Massachusetts), Foley received a top 10 ranking out of more than 500 firms for our strong client focus, breadth of service, innovation, and value for the dollar. In addition, Foley was a Top 10 firm on the U.S. News – Best Lawyers® 2010 “Best Law Firms” list, based on the total number of first-tier metropolitan rankings, and CIO magazine named Foley to its prestigious CIO-100 list for technological innovation that enhances business value. At Foley, we strive to create legal strategies that help you meet your needs today — and anticipate your challenges tomorrow
Website: https://www.gtlaw.com/
About Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
Shulman, Rogers, Gandal, Pordy & Ecker, P.A. is one of the largest, most respected law firms in the Washington Metropolitan Area.
In 1972, Shulman Rogers was founded on a commitment to client service. Today, the firm’s roster of highly skilled attorneys and other dedicated staff members are all guided by that same commitment. A client-first approach. A smart, efficient practice. A relentless focus on problem solving. And an underlying compassion for our clients and our community. It all adds up to revolutionary thinking. The kind of thinking you can count on from the attorneys at Shulman Rogers.
Website: https://www.shulmanrogers.com/
About Merrill Corporation
Merrill Corporation is the world’s leading legal, financial and corporate professionals with a suite of advanced services as well as secure web-based tools to gather, organize and manage the confidential and time-sensitive information related to their matters or transactions.
Website: https://www.merrillcorp.com/
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