The SEC’s Whistleblower Program continues to be active, with the SEC recently making multiple large awards. This panel will discuss the Whistleblower Rule and recent developments, and will provide practical takeaways on what advisers need to know in this area. Topics covered will include:
- Whistleblower rule and proposed amendments
- Employment agreements
- Employee training
- Whistleblower compliance policies and procedures
- Implications of the Supreme Court’s decision in Digital Realty
- How the SEC evaluates whistleblower tips, complaints, and referrals
Robert Plaze is a partner at Proskauer Rose LLP and a member of the firm’s Registered Funds and Private Investment Funds Groups. Bob advises investment advisers, investment companies, hedge funds, private equity funds and their service providers on regulatory and compliance issues under the federal securities laws. Before entering private practice, Bob served for nearly 30 years in the SEC’s Division of Investment Management, most recently as Deputy Director. While at the SEC, Bob was responsible for policy development and management of the key regulatory initiatives affecting investment companies and investment advisers, including rules governing fund and adviser compliance programs, money market funds, fund corporate governance, personal trading, custody and brokerage practices, prohibitions on “pay to play” practices, and protection of investor privacy. After the passage of the Dodd-Frank Act, Bob was responsible for rulemaking requiring advisers to private funds to register with the SEC, providing new exemptions from registration and requiring reporting by certain exempt advisers.
Sam Waldon is a partner at Proskauer Rose LLP and a member of the firm’s Litigation Department, as well as the firm’s Private Equity and Hedge Fund Litigation team, Private Credit Litigation Response team, Securities Litigation Group, and White Collar Defense & Investigations Group. Sam advises private funds and their managers on litigation, enforcement and regulatory matters, including exams and investigations. Before joining Proskauer, Sam served as Assistant Chief Counsel in the SEC’s Division of Enforcement for eight years. In that role, Sam helped develop and implement many of the Division’s policies and procedures, and advised the Division’s senior leadership, investigative staff and trial unit attorneys on a wide range of legal and policy issues. Sam also worked closely with staff in other Divisions and Offices throughout the SEC on enforcement related issues, including playing a key role in the drafting of the rules establishing the SEC’s whistleblower program.
Sarah Buescher is Associate General Counsel of the Investment Adviser Association. She is responsible for ERISA and pension issues as well as core Investment Advisers Act issues. Before joining the IAA, Sarah served as a Branch Chief in the Investment Adviser Regulation Office in the SEC's Division of Investment Management. She also worked in the SEC's Office of the General Counsel and started her legal career in the SEC's Division of Investment Management. Sarah also has industry experience. Between 1999 and 2009, she worked at Vanguard, first in the Legal Department as Associate Counsel and Senior Counsel, and later as Manager of International Compliance in Vanguard's Compliance Department.
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Registration for the live webinar closes on Friday, May 3 at 5:00 PM ET.
IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary.
Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recording will be available for purchase after May 6. Contact email@example.com to purchase the recording ($250).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email firstname.lastname@example.org.