InstructorTerri Hays
TypeOnline Course
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Tuition Options


PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Lloyd Chinn, Partner, Labor & Employment Law, Co-Head,
Whistleblowing & Retaliation Group, Proskauer

The SEC’s Whistleblower Rules, and the Enforcement Division’s Whistleblower Office create an emerging and growing wave of liability and risk for Asset Managers.

As the focus upon Whistleblower actions intensifies – individuals, encouraged by savvy plaintiffs’ lawyers, may become more interested in reporting wrongdoing and in pursuing retaliation actions.Several high profile funds have experienced severe redemption requests or even closure as a result of allegations and prosecutions, some of which stemmed from Whistleblowers.These trends have created an escalating set of liabilities for compliance, legal and operations executives as well as an evolving set of ramifications for institutional investors, prime brokers, administrators, CPAs, attorneys and consultants.

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Students shall learn the following within this Course:

  • The SEC approach to Whistleblower complaints;
  • Analysis of new Whistleblower incentives;
  • Ramifications for existing compliance programs;
  • Refining compliance policies and procedures;
  • Overview of Whistleblower protections;
  • Effectively Addressing Whistleblower claims;
  • Implications for existing employment policies;
  • Protecting your firm against retaliation claims.

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Senior Fellow from Practice:

  • Lloyd Chinn, Partner, Labor & Employment Law, Co-Head, Whistleblowing & Retaliation Group, Proskauer

Guest Lecturers:

  • James Hartmann, Chief Compliance Officer, Arena Investors
  • Sigal Mandelker, Partner, Proskauer
  • Simon Raykher, General Counsel & Chief Compliance Officer, Kepos Capital

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Accreditation Information

CLE Information

Credit Hours: 4
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 6
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information


Course ID Number:  8131


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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.