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Managing and Mitigating Risks Created by the SEC’s New Dodd-Frank Whistleblower Program

Wednesday, June 22, 2011

Please join us for Pepper Hamilton’s CLE workshop on Managing and Mitigating Risks Created by the SEC’s New Dodd-Frank Whistleblower Program.

Wednesday, June 22, 2011
8:00-10:30 a.m.
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA

This event will focus on educating corporate in-house counsel and compliance professionals on the risks created by the SEC’s new Dodd-Frank whistleblower program and best practices for managing and mitigating those risks. Speakers will include former SEC enforcement staff and other experienced practitioners.

Who Should Attend

  • general counsel
  • ethics and compliance professionals
  • in-house employment counsel.

Register online at http://www.regonline.com/seminar622.

There is no charge to attend this event. CLE credits will be offered. Agenda is subject to change.

8:00 a.m. Registration and Networking

8:30 a.m. Welcome and Opening Remarks
Robert L. Hickok

8:40 a.m. Session One: What Companies Must Know About the Risks Created by the SEC’s New Dodd-Frank Whistleblower Regulations
Gay Parks Rainville
This session will focus on the key provisions of the SEC's new whistleblower and anti-retaliation regulations, the marketing efforts by plaintiffs' attorneys to solicit potential whistleblowers, and the impact of these developments on companies' compliance efforts.

9:00 a.m. Session Two: How Companies Can Proactively Manage and Mitigate the Risks
Jay A. Dubow
This session will focus on best practices for building a robust compliance program that encourages potential whistleblowers to report possible securities violations internally and mitigates the risks presented by whistleblowers reporting directly to the SEC.

9:25 a.m. Session Three: How Companies Can Avoid and Manage Retaliation Claims
Russell E. Adler
This session will focus on best practices for avoiding and handling whistleblower retaliation claims brought under the new Dodd-Frank anti-retaliation provisions.

9:50 a.m. Session Four: How Companies Can Proactively Prepare for and Defend Against an SEC Investigation
Ivan B. Knauer
This session will focus on best practices for proactively conducting internal investigations, communicating with the SEC regarding those investigations, and defending against SEC investigations.

10:15 a.m. Session Five: How to Manage the Risk of SEC Investigations with Insurance
Lawrence Fine
Senior Vice President, Chief Technical Officer for Financial Lines Claims, Chartis
This session will focus on insurance options for managing the costs of responding to an SEC investigation.

Register early as space is limited.

If you have any questions, contact Kim MacAlister at macalisterk@pepperlaw.com or 215.981.4249.

For more information on this topic, please click on the links below:

More Resources on the Dodd-Frank Act
For additional information, please visit Pepper's Financial Services Reform Resource Center.


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