The Dodd-Frank Wall Street Reform and Consumer Protection Act is bringing major changes to the financial services industries. While many of the regulations stemming from Dodd-Frank are still taking shape, the final rules for the SEC’s Whistleblower Program adopted on May 25 serve as an indicator of the greater regulatory scrutiny to come. Rather than just pointing to a compliance program that exists on paper, an organization will need to show implementation of a compliance program reasonably designed to address its actual risk profile.

Join us for a free webinar with experienced practitioners from Bass Berry & Sims to examine the critical compliance aspects of the Dodd-Frank legislation. During the webinar, attendees will learn about: 

• Overview of provisions relevant to financial institutions, insurance entities and corporations
• Pertinent regulations implemented to date and recommendations for addressing the new compliance challenges
• The new SEC whistleblower rewards program
• The new SEC whistleblower protection provisions
• Compliance risks created by the new Consumer Financial Protection Bureau (CFPB)
• The CFPB whistleblower protection provisions

Throughout the presentation, hypothetical scenarios will be used to illustrate the new risks and steps that can be taken to minimize the risks.

Who Should Attend

• Chief Compliance Officer
• Chief Risk Officer
• Chief Financial Officer
• Director of Risk Management
• Director of Regulatory Affairs

About the Presenters

Eli Richardson is a member of the Bass, Berry & Sims Internal Investigations and Government Enforcement Group. His practice focuses on white collar crime, conducting internal investigations (including Foreign Corrupt Practices Act matters), and defending clients under investigation by the Department of Justice, the Securities and Exchange Commission and other regulators.

Eli has nearly 20 years of legal experience, including extensive background in government enforcement and regulatory matters, having served in high-profile positions as a federal prosecutor with the U.S. Department of Justice (DOJ) and as a special agent with the Federal Bureau of Investigation (FBI).

Anthony McFarland is a member of the firm's Financial Institutions Litigation Group, and serves as the firm's Technology Chair. Over the past 30 years Tony has represented a wide range of clients, concentrating his practice on complex business litigation. He is experienced in class action and multi-district litigation, with a special emphasis on financial institution litigation, broker/dealer disputes, and technology-related issues. He has represented numerous financial institutions in a variety of disputes, including issues related to lender liability, the Bank Secrecy Act, the Gramm-Leach-Bliley Act, Regulation J, and the Uniform Commercial Code, among others.

Brian Iverson focuses his practice on commercial litigation, with a special emphasis on litigation involving financial institutions. He has represented broker-dealers in professional liability claims before the Financial Industry Regulatory Authority and in federal and state securities law claims. Brian has also represented financial institutions in loan disputes, contract disputes, tort claims and consumer protection claims. He has studied extensively the recently-enacted Dodd-Frank Wall Street Reform and Consumer Protection Act and has summarized many of the provisions most relevant to financial institutions.

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