Share this event with friends and colleagues

Please Note: This event has already taken place.

CLE - Whistleblowers: A Practical Discussion of How to Respond to Claims and Address Risks

Monday, June 16, 2014 3:00 PM to 5:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA

Register for WEBCAST
*Additional fees may apply for online viewing of programs via West LegalEd. BBA Members may be eligible for a discount.


Section 21F of the Securities Exchange Act of 1934, adopted under Section 922 of the Dodd-Frank Act, was signed into law by President Obama on July 21, 2010. Section 21F creates financial incentives and provides increased protection for whistleblowers that voluntarily provide to the Securities and Exchange Commission original information that leads to successful enforcement actions against reporting Companies.

The Conference will provide an overview of the SEC whistleblower program. Our panelists will also address some of the unique features and policies behind the program, as well as successes it has achieved, challenges it still faces, some of the early rulings that have come out and some of the questions that remain outstanding.

In addition, we will speak to the Sarbanes Oxley whistleblower program, and our speakers will provide the perspective of a regulator as well as company counsel. We will also provide advice as to how companies can address whistleblower claims.


  1. Historical overview of whistleblower legislation in the U.S.
  2. Legislative background of whistleblower programs – Dodd Frank and Sarbanes Oxley
  3. Distinguishing features and policies of whistleblower programs and their application
  4. How have the whistleblower programs worked in practice? – A regulator’s view
  5. How have the whistleblower programs worked in practice? –Views from company counsel
  6. Recent rulings and key issues for companies to consider
  7. Best practices for encouraging and handling internal reports of potential securities violations
  8. Concluding remarks and Q&A Session

Michael D. Ricciuti
Partner, K&L Gates LLP
Formerly Assistant United States Attorney in Boston

Karen M. O'Toole
Senior vice President & Deputy General Counsel
Fidelity Investments

Registration Categories:
BBA Member - $130.00
Non-Member - $170.00
BBA Member - Legal Services/ Government Lawyer - $70.00
Law Student - $30.00

If the cost of this seminar would preclude you from attending, please contact us about tuition discounts.

Materials: Only be digital copies of the materials distributed and will be sent by email. There will not be hard copies of the materials at the day of the program. To receive the materials ahead of time please register online or email us at .


Sponsoring Section/Committee(s):




Jacqueline Querubin


BBA Event Calendar