Reports filed though the Whistle-Blower Program provide tremendous value to the SEC’s enforcement efforts.
The SEC has secured over $975 million in enforcement matters involving whistle-blower information. Many investigations that led to successful actions were opened after the SEC received whistle-blower information. If a whistleblower’s concerns are not reported internally, the company loses the opportunity to conduct a timely and thorough investigation. This video reviews the need to reevaluate compliance programs with whistle-blowers in mind; and how to respond to potential whistle-blowers and investigating allegations.
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