Applying Whistleblower Rules at Investment Adviser Firms
Investment Adviser Association
May 3, 2012
The SEC has established a Whistleblower Program pursuant to the Dodd-Frank Act that mandates that the SEC award payments to whistleblowers that voluntarily provide the SEC original information of securities law violation(s) leading to enforcement action and penalties collected of over $1 million. This panel will discuss considerations in implementing a whistleblower program at investment advisers and other ideas for meeting the requirements of the program at an advisory firm.