Whistleblower Hotlines - History and Regulations 1.5 CPE

Course Duration: 1.5 Hours

Course Rating:

Course Enrollments: 72 Enrolled

Mode of Delivery: On-Demand

Course Level: Basic

Study Area: Specialized Knowledge

This course is a premium+ course it can be accessed either by individual purchase or through a premium+ subscription

The tactics of whistle blower hotlines are simple - provide professionals 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 vary 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 come through the hotlines.

In the advent of new regulation which allows whistleblowers to go outside internal lines of defense to report misdoings, 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 of hotlines.

Prerequisites

No Advanced Preparation or Prerequisites are needed for this course.

Learning Objective

Explore the impetus of whistleblower hotlines.
Explore the definition and history of whistleblowing.
Identify famous whistleblowers.
Recognize regulations supporting the process.
Explore the False Claims Act.
Explore the Whistleblower Protection Act.
Explore Dodd-Frank Exclusions.
Identify risk management opportunities related to hotlines.

Last updated/reviewed: July 28, 2025

(26) Reviews

(11 rating)

nicholas.wilhelm

The excitement of the content combined with the enthusiasm and insight of Mr. Wasny make this course, along with those he presents on AI, the most inspiring and motivational I've experienced on this platform.

kim.greer

Excellent course as always from Ms. Lambert! Covers all the main areas of pay deductions and includes helpful calculation examples as well.

brian.johnson_2

Interesting and informative course with relevant information to understand the controllership function. Easy to follow and understand.

omelendez

The questions in the quiz and test are hard to understand and at times do not make sense grammatically.

nicole.cunnea

Overview of state regulatory policies for method of payment and timing on payment to terminated EEs is very nice. I found the refresher very useful.

madalyn.adkins

"How should the control environment be viewed by organizations?" <--Based on the expected answer, this question is written extremely poorly & is misleading.

nataliia.yehorova

An intense and well-presented course for compliance professionals that provide a comprehensive picture of AML as part of Compliance

micheal.oconnor

Good review course. This was a solid refresher for something I have been away from for some time.

annesta.turner

Thank you so very much for this course . Was a little hard to follow. Slides needed more information

christina.woodward

Thank you, this course was great. I felt like it covered everything necessary and provided me with the tools to pass the exam at the end. Overall I would recommend this to a colleague.