Whistleblowing: History, Regulations, and Concepts 1.5 Credits
When The Whistle Blows - Part 1
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Step into the world of whistleblowing hotlines as we decode their simplicity and significance in modern corporate compliance.
In the intricate realm of compliance, whistleblowing hotlines stand as sentinels, offering a confidential gateway for professionals to voice their concerns. The tactics of hotlines are simple - provide professionals with a confidential manner to report complaints. Sarbanes-Oxley provided the impetus for organizations to take a closer look at their complaint-reporting process. Now, 12 years after the original Sarbanes-Oxley legislation, hotlines are considered one of the essential tools for organizations to appropriately manage compliance programs.
The effectiveness of hotlines can be varied depending on how it is managed and administered. In addition, management's attention and response to hotline calls is an important aspect of maintaining an effective and positive control environment. The Audit Committee of public companies is responsible for ensuring a confidential and effective complaint reporting process and should fully understand processes as well as information that comes through the hotlines.
With the advent of new regulation that allows whistleblowers to go outside internal lines of defense to report miss-doings, this CPE Course will discuss why companies should be strategically aware of their programs and the effectiveness and perceptions of their programs. Audit Committees, senior management, and all professionals should understand the important implications that hotlines provide.
Major Topics covered in this CPE Auditing Course:
Join us for an insightful exploration into the intricate landscape of whistleblowing with Part 1 of our series, we will unravel the history, regulations, and key provisions that govern the act of whistleblowing, shedding light on its evolution and importance.
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 1.5 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
Credits
Course Level
Instructional Method
Pre-requisites
Advance Preparation
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Lynn Fountain has over 39 years of experience spanning public accounting, corporate accounting and consulting. 20 years of her experience has been working in the areas of internal and external auditing and risk management. She is a subject matter expert in multiple fields including internal audit, ethics, fraud evaluations, Sarbanes-Oxley, enterprise risk management, governance, financial management and compliance. Lynn has held two Chief Audit Executive (CAE) positions for international companies. In one of her roles as CAE, she assisted in the investigation of a multi-million-dollar fraud scheme perpetrated by a vendor that spanned 7 years and implicated 20 employees. The fraud was formally investigation by the FBI and resulted in 5 indictments estimating a $13M fraud loss.
Ms. Fountain is currently engaged in her own consulting and training practice. She has successfully executed on several consulting assignments spanning areas of accounting, risk, ERM and internal audit. She is a highly sought-after trainer and international speaker and has produced hundreds of courses delivered through seminars, conferences and on-demand training. She is the author of three separate technical books.
Ms.
Fountain obtained her BSBA from Pittsburg State University and her MBA from
Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials.
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To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.
After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.
We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.
JC
Well-worth time to take this course. Instructor had an engaging style and very well versed in subject matter.
MF
Great summary of the evolution of whistle blower protection with plenty of real world examples.
Jan 30, 12:00 PM ET
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