The SEC's New Whistleblower Rules: Implications for Your Company's Compliance and Fraud Program

Instructor: Craig M Taggart
Product ID: 703916
  • Duration: 90 Min
This training program on the SEC’s new whistleblower rules will detail a fraud examiner’s role in whistleblowing and offer guidance for potential whistleblowers. The regulations the SEC issued governing the whistleblower program are dense, virtually incomprehensible to non-lawyers, and full of legal traps to gaining an award. This course will offer attendees a clear understanding of the regulations as they stand now.

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section
Last Recorded Date: Aug-2016

Training CD / USB Drive

One CD/USB is for usage in one location only.
(For multiple locations contact Customer Care)
CD/USB and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-362-2367

Email: [email protected]

Read Frequently Asked Questions

Why Should You Attend:

There are ten rules for becoming a successful SEC whistleblower. This course will review these ten best practices, which include:

  1. Make sure you really want to be a whistleblower.
  2. You must have original information which qualifies for an award.
  3. Be creative and do a bit of your own investigating.
  4. If at all possible, report your information first internally in a well-documented submission to the responsible corporate officials.
  5. After you report internally, promptly report to the SEC.
  6. Make your submission short and to the point.
  7. Consider carefully which documents to include.
  8. Before making a submission, consider your position in or relation to the company.
  9. If you had any involvement in the illegal activity, consult an attorney before approaching the SEC.
  10. Formulate your submission and cooperate with the SEC, with an eye to getting the maximum award after the case is brought, and consider hiring a lawyer to assist you in reporting to the SEC.

Learning Objectives:

  • Evaluate the elements necessary for an effective whistleblower program and recognize the legal protections that might apply during a fraud examination.
  • Understand the precautions necessary for organizations to mitigate and avoid retaliation claims.
  • Learn, recognize and evaluate the best strategy for developing useful information from whistleblowers.
  • Identify the options and risks that a potential whistleblower should consider.

Areas Covered in the Webinar:

  • Fraud examiners' roles in whistleblowing
  • Fraud-related whistleblower protections
  • Qui tam suits and rewards programs
  • Handling whistleblowers in fraud examinations
  • Guidance for potential whistleblowers
  • Recognizing the red flags of retaliation and how to mitigate and avoid retaliation claims
  • Whistleblower programs
  • Establishing an effective compliance and training program under the SEC's revised whistleblower program
  • Evaluating the elements for an effective training program during fraud examination
  • Key changes to the whistleblower rules

Who Will Benefit:

  • 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
  • Human resources professionals

Instructor Profile:
Craig M Taggart

Craig M Taggart
Managing Director, BCC Capital Partners

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: continuing education, transportation, software and professional services. Mr. Taggart is currently working in the clean energy sector that covers multiple initiatives within M&A and corporate development.

He is a certified merger and acquisition advisor, accredited valuation analyst as well as an active member of Alliance of Mergers and Acquisition, and The National Association of Certified Valuators and Analysts (NACVA). His knowledge and expertise also extends to systems such as: Software as a Service (SaaS), and ERP and CRM systems (Netsuite, Salesforce, Sage 100, 500, X3 ERP). Mr. Taggart has been a certified fraud examiner since 2011 and has previously worked at Deloitte with their quality risk management team.

He earned his MBA from the San Diego State University specializing in financial management. Mr. Taggart graduated from the California State University Northridge with a bachelor’s degree majoring in organizational psychology.

Topic Background:

The Dodd Frank Act's whistleblower 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 whistleblower program are dense, virtually incomprehensible to non-lawyers, and full of legal traps to gaining an award. Solid whistleblower information, which leads to a big case, may still be ineligible for an award, for any one of a multitude of reasons.

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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).

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