Financial Services Part II: Dodd-Frank and Sarbanes-Oxley Whistleblower Investigations and Litigation

In Part II of this Financial Services curriculum, the lawyers of Epstein Becker’s financial services strategic industry group provide an update on the most recent developments in Dodd-Frank and Sarbanes-Oxley whistleblower compliance and litigation.  They focus on pertinent case law as well as enforcement activities at the SEC.

Learning Objectives:

I.     Understand the latest whistleblower developments and what they mean for financial services employers 

II.    Recognize the ways that whistleblower statutes can affect all financial services firms, both public and private 

III.   Grasp what whistleblower developments may be on the horizon