SEC Whistleblowers 2015 - SEC Whistleblowers and Responding to Whistleblower's Complaints

SEC Whistleblowers and Responding to Whistleblower's Complaints
This training program will discuss the changes in the SEC whistleblower program, as a result of Dodd-Frank. It will also guide attendees on how best to respond to a whistleblower complaint and how to proactively deal with the SEC, the Department of Justice and Congress.
Why Should You Attend:
This webinar will provide practical information on how corporate compliance programs can manage the increasing number of whistleblower complaints. It will also provide valuable tips on how to investigate whistleblower complaints.
The course will further highlight the SEC’s new whistleblower program and provide valuable advice for compliance professionals with regard to how to ensure the effectiveness of their compliance programs. Presented by the former Inspector General of the SEC, who audited the SEC’s whistleblower program and conferred with Congress regarding the evolution of the program in accordance with Dodd-Frank, the webinar will describe how one should effectively deal with a whistleblower and provide tips on how to interact with the SEC.
Learning Objectives:
? Learn about the history and background of the SEC whistleblower program
? Learn about the changes in the SEC whistleblower program, as a result of Dodd-Frank
? Learn about the SEC rules implementing the SEC whistleblower program
? Learn about how to respond to a whistleblower complaint
? Learn the consequences of not responding to a whistleblower complaint in a timely manner
? Learn how to proactively deal with the SEC, Department of Justice and Congress
Areas Covered in the Webinar:
? The history and background of the SEC whistleblower program
? The changes in the SEC whistleblower program, as a result of Dodd-Frank
? The SEC rules implementing the SEC’s revised whistleblower program
? Understand how to respond to a whistleblower complaint
? Understand how to conduct effective investigations of whistleblower complaints
? Consequences of not responding to a whistleblower complaint in a timely manner
Who Will Benefit:
? Compliance Officers
? Risk Assessment Professionals
? Internal Investigators and Auditors
? Operational Managers
? CEOs and Senior Management Officials in Small to Mid-Size Firms
? Human Resource Professionals
? Employment Managers
? Public Agency Managers
? Finance and Accounting Management
? Security Professionals
? Fraud Examiners
? Forensic and Management Accountants, Accounts Payable and Financial Analysts
? Controllers
? Accounting Managers
? Investors, Brokers, Money Managers, etc.
? Lending Officers
? Credit and Collection Department Personnel
? Payroll
Instructor Profile:
H. David Kotz presently serves as a managing director at Berkeley Research Group (BRG), a leading global expert services and consulting firm. He is a member of BRG’s Capital Markets Practice, where he specializes in the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He consults with and provides expert testimony on behalf of clients in a wide variety of areas relating to securities fraud, Ponzi schemes, securities market regulation, internal control risk policies, regulations of Futures Commission Merchants and commodities trading regulation. Mr. Kotz also focuses on internal investigations and matters relating to Foreign Corrupt Practices Act (FCPA) and Anti-Money Laundering regulations. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies.
Contact for Registration:
http://www.complianceonline.com/sec-whistleblowers...