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CFTC and SEC Dodd-Frank Whistleblower Rules

part of the FIA Law & Compliance Division webinar series
10 March 2016 10:00am to 11:00am EST

The Commodity Futures Trading Commission and the Securities and Exchange Commission’s Dodd-Frank whistleblower rules have strengthened the regulators’ enforcement regimes and encouraged employees to report wrongdoing, but also create new requirements and hazards for employers. This webinar will explore who qualifies to be a whistleblower, the impact on confidentiality provisions in employee agreements, implementing anti-retaliation policies, the impact on encouraging and responding to internal reporting, handling a whistleblower during an internal or external investigation, and policies for regulated entities to adopt that comply with the new rules.

Presenters:

Michael Sackheim of Sidley Austin LLP

View Recorded Webinar | Download Presentation

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