Whistleblower Compliance Strategies and Best Practices

Presented on Thursday, April 20, 2017

  • Materials:
  • Whistleblower Compliance Strategies and Best Practices

    • Speakers:
    • Heidi Franken, OSC’s Office of the Whistleblower
    • Ashok Memen, OSC’s Office of the Whistleblower
    • Rene Sorell, Counsel, McCarthy Tétrault LLP
    • Shane C. D’Souza, Partner, McCarthy Tétrault LLP
    • Zain Raheel, Ernst & Young
  • About this program:
  • Whistleblower programs look like they are here to stay. The CSA’s recent enforcement report noted that whistleblower programs implemented by the Ontario Securities Commission and the Autorité des marchés financiers have “already shown signs of early success” and have “attracted several credible tips”. The Alberta Securities Commission recently announced that it is also considering a whistleblower program to encourage tipsters to expose wrongdoing in the province's capital markets.

    Hear about whistleblower compliance strategies and best practices directly from our expert panel: Heidi Franken (Chief, OSC’s Office of the Whistleblower), Zain Raheel (Ernst & Young), and our lawyers, Rene Sorell, Sean D. Sadler and Shane C. D’Souza.

    Please join us for a robust discussion that will include the following points:

    ¬ Overview of OSC’s and AMF’s whistleblower policies
    ¬ OSC’s Office of the Whistleblower: priorities and expectations, successes and challenges
    ¬ Hallmarks of comprehensive internal whistleblower program
    ¬ Potential impacts on internal compliance and reporting procedure
    ¬ Potential impact on existing relationships with third parties
    ¬ Responding to whistleblower complaint
    ¬ Best practices when conducting Internal Investigations


    This program qualifies for up to 1.5 hour(s) of eligible educational activity or CPD/MCE credit under the mandatory education regimes in British Columbia, Ontario and Québec.