The “whistleblower” provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act have emerged as a game-changing development in the compliance and securities enforcement world. Dodd-Frank’s whistleblower provisions have enormous implications for public companies, other entities subject to SEC regulation, the SEC itself, and the attorneys and other professionals that must help companies navigate these new laws.
- The good, the bad, and the ugly components of the new whistleblower provisions.
- The apparent conflict between the Dodd-Frank Reform and Consumer Protection Act and the proposed changes to the Federal Sentencing Guidelines with regards to the identification and disclosure of financial misconduct.
- Best practice advice on improving your internal reporting mechanisms within your ethics and compliance program.
- Guidelines for use of the Board of Directors on how to evaluate the effectiveness of your hotline and internal reporting process