Learn how to ensure your clients or company remain compliant with the SEC's rules and recommendations.
Nearly thirteen years ago, Congress gave the Securities and Exchange Commission legal authority to pay awards to whistleblowers who report federal securities law violations. Since then, the SEC has secured more than $6.3 billion in enforcement matters involving whistleblower information, paid out more than $1.3 billion in whistleblower awards (not including an eye-popping $279 million award the SEC made to a whistleblower in May 2023), and aggressively acted against employers accused of retaliation. These and other developments in the SEC's Whistleblower Program raise serious challenges for public companies and other entities in financial-services industries subject to federal securities laws. This presentation will provide a detailed explanation of how the SEC's Whistleblower Program works, including what the SEC looks for in a good whistleblower tip, a start-to-finish description of the SEC's whistleblower-claim process, and the types of misconduct whistleblowers can report on. The topic also will evaluate developments likely to shape the program's future and detail best practices for internal compliance programs.
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
Overview of Whistle-Blower Reward Programs and How the SEC's Program Fits in
How the SEC's Whistle-Blower Program Works
- Elements of an SEC Whistle-Blower Claim
- What the SEC Looks for in Information From a Whistle-Blower
- The Whistle-Blower Process, Start to Finish
- Types of Misconduct Whistle-Blowers May Report On
- Recent SEC Enforcement Trends, With a Focus on the Foreign Corrupt Practices Act
- Who Can Be a Whistle-Blower
- Focus on Foreign Whistle-Blowers
SEC Whistle-Blower Program Results
Compliance Best Practices
Practical Strategies for Successful Internal Reporting Programs
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on July 24, 2023.
Call 1-866-352-9540 for further credit information.
- AK CLE 1.0
- Alaska attorneys may receive 1.0 hours of continuing legal education for completing this program. Please contact the Alaska Bar Association or go to www.alaskabar.org for details regarding reciprocity with other states.
- AL CLE 1.1
- This course or a portion thereof has been approved by the Alabama State Mandatory Continuing Legal Education Commission for a maximum of 1.1 hours credit.
- AR CLE 1.0
- This course has been approved for 1.0 hours of CLE by the Arkansas CLE Board.
- Arizona CLE 1.0
- The Arizona State Bar does not pre-approve or pre-certify MCLE programs. However, records of this program and attendance will be maintained by Lorman Education Services for auditing purposes. This activity may qualify for up to 1.0 hours toward your annual CLE requirement for the State Bar of Arizona.
- CA MCLE 1.0
- Lorman Education Services is a State Bar of California approved MCLE sponsor and this course qualifies for 1.0 CLE hours of participatory credit.
- CT CLE 1.0
- Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. This course has been approved for CLE credit in jurisdictions aside from CT and therefore it automatically meets the content and delivery requirements in Connecticut. Credit is based on a 60 minute credit hour and shall be awarded as follows: 1.0 CLE credit(s).
- GA CLE 1.0
- This program has been approved by the Georgia Commission on Continuing Lawyer Competency for 1.0 CLE hours.
- HI CLE 1.0
- This program was approved by the Hawaii State Board of Continuing Legal Education for 1.0 CLE credit hours.
- IL CLE 1.0
- This course was approved for a total of 1.0 hours of MCLE Credit by the Illinois MCLE Board.
- MN CLE 1.0
- This program has been approved by the Minnesota Board of Continuing Legal Education for 1.0 hours of credit.
- MO CLE 1.3
- This course qualifies for self-study CLE credit in Missouri.
- ND CLE 1.0
- North Dakota CLE policy does not allow for pre-approval of any self-study courses. This course may qualify for up to 1.0 hours of CLE credit.
- NH MCLE 1.1
- NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this Ondemand course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 64 Minutes.
- NM CLE 1.0
- This program has been approved by the New Mexico Minimum Continuing Legal Education Board for 1.0 hours of credit.
- NV CLE 1.0
- This program has been approved by the Nevada Board of Continuing Legal Education for 1.0 CLE hours.
- NY CLE 1.0 including Areas of Professional Practice 1
- This course has been approved in accordance with the requirements of the New York Continuing Legal Education Board for up to a maximum of 1.0 credit hours in the area(s) of Areas of Professional Practice for 1.00 hour. Each hour may be counted only as satisfying one category of credit. Duplicate credit for the same hour of instruction is not permitted. This course qualifies for both established and newly admitted attorneys. Lorman Education- Noggin Guru, Inc. has a financial hardship guideline. Please contact customer service at 1.866.352.9539 for instructions on how to apply.
- OR CLE 1.0
- Approved for 1.0 CLE credits in Oregon.
- PA CLE 1.0
- This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.0 hours of substantive law, practice and procedure CLE credit.
- RI CLE 1.0
- This program has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for 1.0 hours of CLE credit.
- VT CLE 1.0
- This self-study program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.0 hour(s) of CLE credit. Please note: Attorneys may only claim 12 credits per compliance period in this format. This course is considered "Non-Moderated Programming without Interactivity".
- WA CLE 1.0
- This program has been approved by the Washington State Board of Continuing Legal Education for 1.0 hours of A/V credit under the Law & Legal Procedure category.
- WV MCLE 1.3
- This program has been approved by the West Virginia State Bar MCLE Commission for 1.3 MCLE hours.
- NALA 1.07
- This program is applicable for continuing legal assistant education credit. Please check with your accrediting board to see if this course will qualify towards your recertification requirements.
Program Length: 1.07 hour(s).
To earn each credit Lorman offers through the OnDemand learning platform, you need to watch 100% of the program. Also, for certain credits you will need to fulfill additional requirements which will be displayed on the "credits" tab when viewing the course.
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
Sarah "Poppy" Alexander
Constantine Cannon LLP
- Partner at Constantine Cannon
- Represents whistleblowers and government entities in qui tam lawsuits, as well as under the various agency whistleblower programs
- Practice focuses on issues of international corruption and financial misconduct, with a specialty in the Foreign Corrupt Practices Act and money laundering cases
- Writes and speaks regularly about emerging topics in financial fraud, including sanctions violations, SPACs, and cryptocurrency
- Represented a whistleblower who returned over $360 million to the U.S. Treasury from an antitrust conspiracy to overcharge the U.S. military for oil and gas contracts, represented the first-ever successful whistleblower under the Department of Transportation’s whistleblower program, and successfully litigated multiple False Claims Act cases against healthcare companies overcharging Medicare for the services provided
- Graduated from Harvard Law School, where she was the co-editor-in-chief of the Harvard Civil Rights-Civil Liberties Law Review and clerked for the Sixth Circuit
Ari Yampolsky
Constantine Cannon LLP
- Partner at Constantine Cannon LLP
- Represents whistleblowers under every major whistleblower-reward law
- Has helped SEC whistleblowers secure millions of dollars in awards for exposing financial fraud
- Along with his colleagues, successfully represented a whistleblower who received the first-ever award from the Department of Transportation ($24 million) after the tipster revealed safety defects affecting engines in millions of Hyundai vehicles and was a key member of a team that secured a $138 million settlement representing a whistleblower and dozens of government entities in ground-breaking state False Claims Act lawsuits against four wireless carriers
- Graduated magna cum laude from UC Irvine School of Law and clerked on the U.S. Court of Appeals for the Sixth Circuit and the U.S. District Court for the Middle District of Tennessee
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
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