Compliance Officer as Whistleblower

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this podcast Matt Kelly and Tom Fox take a deep dive into the recent whistleblower award issued to an anonymous whistleblower, who happened to be a compliance professional. Some of the highlights include: What are the requirements for a compliance professional to be eligible for a Dodd-Frank Whistleblower award? How many CCOs or internal audit types have been awarded Dodd-Frank Whistleblower awards? The SEC was previously investigating the company, how (or why) was there an award in this case? With nearly $400MM paid out in whistleblower awards, the program is clearly working. Is Jay Clayton’s attempt to eviscerate the Whistleblower Awards? Resources Matt Kelly blog post, Whistleblower Award to Compliance Professional SEC Press Release Learn more about your ad choices. Visit megaphone.fm/adchoices