POWER OF INTELLIGENCE

Insight Center: Events & Webinars

Managing and Mitigating Risks Created by the SEC's New Dodd-Frank Whistleblower Program (Princeton)

Speakers: Jay A. Dubow, Robert L. Hickok, Gay Parks Rainville, Lawrence Fine and Russell E. Adler

8/03/2011
8:00 AM - 10:30 AM

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

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.

Speakers
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
Gay Parks Rainville, Partner, Pepper Hamilton LLP

 


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

SEC Adopts Final Dodd-Frank Whistleblower Rules that Will Allow Employee-Whistleblowers to Circumvent Companies' Internal Compliance Programs

Whistleblower Provisions of the Dodd-Frank Act Clarified by the SEC's Proposed Rules

Location

Pepper Hamilton's Princeton Office
301 Carnegie Center, Suite 400
Princeton, NJ 08543-5276

Registration

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