Insights from the Chiefs of the SEC and CFTC Whistleblower Offices

Presented by

Sean McKessy, Vincente Martinez

About this talk

Sean McKessy and Vincente Martinez are the heads of the newly-established Whistleblower Offices at the Securities and Exchange Commission and the Commodity Futures Trading Commission, respectively. At their agencies, McKessy and Martinez lead critical, high-profile programs established under Dodd-Frank that are designed to pay awards to individuals who voluntarily provide original information about violations of the securities laws. The new whistleblower rules have generated a huge number of questions for individuals and companies as to how the rules will be implemented and how they may impact existing compliance programs. In this webcast, the two men who are responsible for running these Whistleblower Offices will explain how the programs work, and how the new whistleblower rules may affect the role of compliance professionals and the internal reporting process. Topics will include: •How the rules incentivize whistleblowers to report internally; •How the rules affect the ability of compliance personnel to become whistleblowers; •How the rules vary depending on the strength of an entity’s compliance and control environment; •How the rules can serve as the incentive to build more robust compliance programs; and •McKessy’s assessment of the progress of the SEC’s Whistleblower Office as he completes his first year as Chief of the Office. Please join Sean McKessy, Chief, Office of the Whistleblower; and Vincente Martinez, Director, Whistleblower Office, U. S. Commodity Futures Trading Commission, as they address these issues and your questions in a one-hour webcast.

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