Track 1: The Anatomy of Whistleblower Complaints and Hotlines – The Good, The Bad & The Ugly: Practitioners Share Lessons Learned When Conducting Interviews, Managing Claims and the Reward Process

November 30, 2023 3:15pm

Creola Kelly
Chief, Office of the Whistleblower
U.S. Securities and Exchange Commission

Brian E. Kowalski
Latham & Watkins LLP

Rita D. Mitchell
Willkie Farr & Gallagher LLP (UK)

Brian Mich
Control Risks

  • Maximizing the use and effectiveness of hotlines
  • Internal reporting vs. proceeding directly to an SEC complaint
  • Are whistleblower complaints and internal reporting mechanisms competing systems?
  • Have more employees reported directly to the agencies after recent rulings and awards; if so, why?
  • To what extent whistleblower complaints are an accurate measure of workplace culture?
  • What are the public and corporate impacts of whistleblower awards?