Corporate Compliance after Dodd-Frank:One Voice;How Many Masters?

Presented by

Byron Egan, Jeffrey M. Sone, Gary Kleinrichert

About this talk

On November 3, 2010, the Securities and Exchange Commission issued proposed rules implementing what the Commission described as a “whistleblower program to reward individuals who provide the agency with high-quality tips that lead to successful enforcement actions. The rules reflect the Commission’s attempt to implement the new whistleblower laws set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act while accommodating a host of competing policy interests. Among the tricky issues facing the SEC are the conflicts between the economic interests of employees who possess information that might result in a successful enforcement action and the government’s interest in encouraging robust internal controls supported by employee reporting; and the inherent conflict between corporate interest in confidentiality, including confidentiality in business relationships, and the need to self report possible internal misconduct and the misconduct of commercial counterparties. This webcast will examine the SEC’s proposed new whistleblower rules and their implications for internal controls and compliance programs, investigations, self-reporting incentives and employer/employee relations, including executive compensation and employee reporting responsibilities. Please join Byron Egan and Jeffrey M. Sone, partners with the Jackson Walker L.L.P. law firm in Dallas, and Gary Kleinrichert of FTI Consulting in Chicago as they address these issues and your questions.

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