The SEC’s New Whistleblower rules Implications for your company’s compliance and fraud program
- Fraud Examiners Roles in Whistle blowing
- Fraud-Related Whistle-blower Protections
- Qui Tam Suits and Rewards Programs
- Whistle-blower Programs
- Handling Whistle-blowers in Fraud Examinations
- Guidance for Potential Whistle-blowers
The Dodd Frank Act’s whistle-blower provisions make it possible for an individual with “original information” regarding violations of the securities laws to submit it to the SEC and receive up to 30% of the monetary penalties in the event the SEC or certain other government enforcement agencies bring a successful case based on that information and the penalties exceed one million dollars. Unfortunately, the regulations the SEC issued governing the whistle-blower program are dense, virtually incomprehensible to non-lawyers, and full of legal traps to gaining an award. Solid whistle-blower information, which leads to a big case, may still be ineligible for an award, for any one of a multitude of reasons.
- Bank and financial institution auditors
- Controllers and corporate managers
- Forensic and management accountants, accounts payable and financial analysts
- Governance, risk management and compliance officers
- Internal and external auditors, CPAs and CAs
- Certified Fraud Examiners and other anti-fraud professionals
Evaluate the elements necessary for an effective whistle-blower program and recognize the legal protections that might apply during a fraud examination. Become able to assess the precautions necessary for organizations to mitigate and avoid retaliation claims. To learn, recognize and evaluate the best strategy for developing useful information from whistle-blowers. Finally to identify the options and risks that a potential whistle-blower should consider.
Craig Taggart has almost a decade of experience in the fields of mergers and acquisitions and business financing. Mr. Taggart works strategically with his clients to achieve the highest value for their business within the capital markets. His experience with BCC Capital Partners in the M&A industry has greatly contributed to his understanding of transaction structure, strategic placement of buyers, and the attainment of maximum market value for his clients. He has represented and sold many businesses in a number of different industries and has significant experience working with companies in the Environmental, Health and Safety Profession.
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