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

Why Should You Attend:

With the enactment of the new Securities and Exchange Commission’s whistleblower rules, employees have substantial incentives and protections to report corporate and securities fraud to the SEC rather than to the company.

This program will cover the effects the SEC's new whistleblower rules will have on internal compliance and fraud investigations, and how in-house counsel and compliance officers can address, and effectively reduce the risks under the Dodd-Frank Act’s provisions.

Areas Covered in the Seminar:

• Key changes to the whistleblower rules.
• Expanded whistleblower eligibility and enhanced whistleblower protections.
• Examples of conduct that might lead to whistleblowing.
• Giving employees incentives to report internally rather than report to the SEC.
• Tips on what to do when a whistleblower reports to the government.
• Establishing an effective compliance and training program under the SEC's revised whistleblower program.
• How to avoid claims of retaliation?

Who Will Benefit:

• Board members
• Regulatory and compliance officers
• Risk managers
• Ethics officers
• In-house counsel
• Corporate officers

Instructor Profile:

Douglas Y. Park, is a Silicon Valley-based Business Attorney and Corporate Governance Consultant, who specializes in solving problems in strategy, corporate governance, and corporate law.

Before forming DYP Advisors, Douglas practiced as a corporate and securities attorney and as a business litigator at two prominent law firms in the San Francisco Bay Area. He has experience in corporate law, securities regulation, corporate governance, venture capital, public company finance, international transactions, mergers and acquisitions, and intellectual property. Having litigated complex commercial matters, including intellectual property, securities, contracts, and antitrust, Douglas brings an added layer of insight to his advice.

Formerly an award winning Assistant Professor of Management at the School of Business, Hong Kong University of Science and Technology, Douglas has been mentioned on corporate governance issues in Time.com , Agenda, a Financial Times service for corporate directors, Boardmember.com , Boardroom Insider, and OpenViewLabs.com .

He received his J.D. from the University of Michigan Law School, his Ph.D. in Strategy and Organization from the Stanford Graduate School of Business and his B.A. magna cum laude with highest honors in Sociology from Harvard College. He has worked with and represented a broad range of clients, including iVillage, Sina Corporation, China Macro Finance, Dorado Corporation, Pacific Gas & Electric, Smart Patents and Stephen Slesinger, Inc.

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