The SEC's New Whistleblower rules Implications for your company's compliance and fraud program.

Craig Taggart

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

Course Objective

Evaluate the elements necessary for an effective whistle-blower program and recognize the legal protections that might apply during a fraud examination. Become able to assess the precautions necessary for organizations to mitigate and avoid retaliation claims. To learn, recognize and evaluate the best strategy for developing useful information from whistle-blowers. Finally to identify the options and risks that a potential whistle-blower should consider.

Course Outline

There are Ten Rules for becoming a successful SEC Whistle-blower. We will review the following stated here and the significance to your organization, Make Sure You Really Want to Be A Whistle-blower, You Must Have Original Information which Qualifies for An Award, Be Creative, and Do a Bit of Your Own Investigating, If At All Possible, Report Your Information First Internally In a Well Documented Submission to the Responsible Corporate Officials, After You Report Internally, Promptly Report to the SEC, Make Your Submission Short and to the Point; Consider Carefully which Documents To Include, Before Making A Submission, Consider Your Position in or Relation to the Company, If You Had Any Involvement in the Illegal Activity, Consult An Attorney Before Making Any Approach to the SEC, 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.

  • Fraud Examiners’ Roles in Whistle blowing
  • Fraud-Related Whistle-blower Protections
  • Qui Tam Suits and Rewards Programs
  • Whistle-blower Programs
  • Handling Whistle-blowers in Fraud Examinations
  • Guidance for Potential Whistle-blowers

Target Audience

  • 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

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Training CD-DVD

Physical CD-DVD of recorded session will be despatched after 72 hrs on completion of payment

Recorded video

Recorded video session

Speaker: Craig Taggart,

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 the Environmental, Health and Safety Profession. Mr. Taggart has expertise in Ergonomic assessments, training and corrective actions, Analysis of Work related injury/illness data identification, causation, frequency of injury types, corrective actions etc. for a multinational corporation, all aspects of safety/health program development and implementation, OSHA Process Safety Management and EPA Risk Management Programs. 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.

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