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
Ethics and Compliance Professionals
In-House Employment Counsel
CLE credit will be available.
Topics will include:
What Companies Must Know About the Risks Created by the SEC's New Dodd-Frank Whistleblower Regulations
This session will discuss 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.
How Companies Can Proactively Manage and Mitigate the Risks
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.
How Companies Can Avoid and Manage Retaliation Claims
This session will discuss best practices for avoiding and handling whistleblower retaliation claims brought under the new Dodd-Frank anti-retaliation provisions.
How Companies Can Proactively Prepare for and Defend Against an SEC Investigation
This session will discuss best practices for proactively conducting internal investigations, communicating with the SEC regarding those investigations and defending against SEC investigations.
How to Manage the Risk of SEC Investigations with Insurance
This session will focus on insurance options for managing the costs of responding to an SEC investigation, communicating with the SEC regarding those investigations and defending against SEC investigations.
Russell E. Adler, Of Counsel, Pepper Hamilton LLP
Jay A. Dubow, Partner, Pepper Hamilton LLP
Lawrence Fine, Senior Vice President, Chief Technical Officer for Financial Lines, Chartis
Robert L. Hickok, Partner, Pepper Hamilton LLP
Ivan B. Knauer, Partner, Pepper Hamilton LLP
Gay Parks Rainville, Partner, Pepper Hamilton LLP
For more information on this topic, please click on the links below:
Pepper Hamilton's New York Office
37th Floor, 620 Eighth Avenue
New York, NY 10018-1405
If you have any questions, contact Kim MacAlister at firstname.lastname@example.org or 215.981.4249.