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SCCE: Encouraging, Managing, and Integrating
Employee Reporting

Lessons Learned from the SEC’s Whistleblower Program

4:30 PM CDT – 5:30 PM CDT

We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.


Learning Objectives:

  • What the data shows and what it means
  • Why whistleblowers come to the SEC instead of (or in addition to) reporting internally
  • What compliance teams can learn from whistleblower settlements

Speakers:

Jane Norberg
Partner – Securities Enforcement and Litigation, Arnold & Porter

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Jenny O’Brien
President and Principal, Blackbridge Advisors

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