Compliance into the Weeds

Compliance Officer as Whistleblower

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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

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    Compliance into the WeedsBy Tom Fox
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