Illinois (IL) Investigations CLE Course Catalog

An expert panel including counsel from the SEC discusses how managing a corporate crisis or major internal investigation requires a delicate balance of assessing the impact on disclosure and regulators and engaging with various stakeholders. Auditors play a crucial role in assessing evidence, collaborating with boards/counsel, and navigating independence issues.

Join us as experts discuss the SEC’s Whistleblower Program and recent whistleblower awards. Panelists give recommendations on handling whistleblower complaints and rules against retaliation. Discussion of UBS, Activision, and Brinks cases.

Whistleblower activity is on the rise, prompting increased scrutiny and enforcement by the SEC, further encouraging individuals to report, leading to record-breaking awards. Experts discuss how companies should take whistleblower concerns seriously, cooperate with the SEC, and avoid retaliation.

In this featured panel from the annual “Securities Enforcement Forum Central” event, SEC Regional Directors from five different offices stress the significance of cooperation, compliance, and enforcement actions to safeguard investors and tackle industry shortcomings. The Directors discuss their roles, discussing the importance of cooperation and recent SEC priorities.

Expert panelists discuss recent scrutiny on compliance and recordkeeping requirements in Silicon Valley. Despite the benefits of cooperation with regulatory agencies, recent cases indicate that charges and penalties can still ensue, highlighting the importance of thorough compliance strategies.