Whistle Blower Reform for the Financial Industry: What You Should Be Doing Now

Financial firms face significant new risks for SEC enforcement action energized by the new whistleblower provisions of the Dodd-Frank Act.  These provisions have special impact on financial firms more than other types of businesses because of their extensive regulatory obligations under the securities laws. Firms need to inform themselves now on the new terms and take appropriate action internally immediately. 

AGENDA

• What are the whistleblower provisions of Dodd-Frank?
• What is the proposed SEC interpretation of those provisions?
• Why do these provisions pose special risk for financial firms of all types?
• What should the financial firm be doing to adjust to this new law and regulatory action?
• What are the key terms of the SEC's proposal to consider in creating internal policies and procedures?
• What alternative internal whistleblower structures can the firm implement?
• Key HR issues to consider  

WHO SHOULD ATTEND

In-house counsel, compliance  officers, HR officers and risk management officers of financial firms, such as broker-dealers, investment advisers, fund managers and other securities firms and insurance and bank holding companies with securities activities.

FACULTY

Margaret Paradis is a securities partner in the Washington DC office of Morris Manning & Martin LLP focused on the regulation of securities activities of financial firms, including the changes being implemented under the Dodd-Frank Act.  She regularly counsels financial firms on compliance with the requirements imposed on securities offerings, fund activities and broker-dealer operations within securities, insurance and banking holding companies. She works with clients to complete risk assessments and create and implement appropriate risk management policies and procedures to control regulatory, reputation and other risks.

She has over 25 years experience advising financial firms on securities regulatory requirements. Her practical and informed perspective is based on several years both as outside counsel, but also as in-house counsel and a CCO for global asset management in global firms. 

Margaret Paradis, Esq.
Morris, Manning & Martin LLP
1333 H Street NW
Washington, DC 20005
Telephone: 202-216-4106
Email: mparadis@mmmlaw.com

TELECONFERENCE OVERVIEW

* 90-minute webinar (Travel-Free) delivered over the phone and Internet.
* Unlimited listeners per connection - bring the entire department.
* Q&A session with the expert.

This event will be presented live by phone together with a PowerPoint presentation to be viewed on your computer. Internet access is not required for phone-only participants.

The PowerPoint slides will be provided shortly before the event. Once you register, you will receive an email which is your receipt and which includes your instructions for dialing in and logging on. You will also receive an email reminder 24 hours before the webinar.

REGISTER

Registration - Session Only: $219.00

Registration - Session Plus CD Recording: $319.00

**The CD will contain the speaker’s presentation and the PowerPoint slides shown during the webinar.

(Not available outside the US or Canada)