Navigating Dodd-Frank’s Whistleblower Provisions and the FCPA (2017 Update)

Presented by

F. Joseph Warin, John W.F. Chesley, Greta B. Williams, Sean X. McKessy, Jim Barratt

About this talk

In the midst of reported declines in securities enforcement, 2017 was yet another record year for reports to the SEC’s Office of the Whistleblower. In the six-year history of Dodd-Frank’s whistleblower provisions, the SEC has turned tens of thousands of tips into nearly a billion dollars in enforcement actions, returning over $160 million of the pockets of whistleblowers. In 2017, the SEC continued to financially reward those who come forward with information concerning potential securities violations as well as take aggressive enforcement actions against those alleged to have discouraged whistleblowing through retaliation or restrictive severance agreements. On top of all this, the federal courts continue to teem with civil anti-retaliation claims and the Supreme Court has agreed to decide the foundational question of whether Dodd-Frank’s anti-retaliation provisions apply to those who have not reported to the SEC. These trends, coupled with dynamic developments in FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night. Securities Docket is pleased to present its sixth annual webcast on the intersection of Dodd-Frank’s whistleblower provisions and the FCPA. This free 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, discuss their interpretation by the SEC Office of the Whistleblower and federal courts, analyze their intersection with the FCPA, and provide participants with practical tips for navigating the minefield of whistleblower complaints.

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