Managing Disclosures & Preventing Retaliation Under SOX/Dodd-Frank
Designed for managers and compliance teams in the United States, this course provides a comprehensive, practical framework for handling whistleblower disclosures and preventing retaliation under the Sarbanes-Oxley Act, the Dodd-Frank Act, and the False Claims Act.
This course is the second in a two-part series on whistleblower compliance for United States organisations. Where the companion course introduces employees to their rights and reporting obligations, this course equips managers, HR professionals, legal counsel, and compliance officers with the skills and knowledge needed to receive disclosures correctly, investigate them appropriately, and protect both reporters and the organisation from legal exposure.
Participants will develop a thorough understanding of the legal framework governing workplace disclosures, including the whistleblower protections embedded in the Sarbanes-Oxley Act of 2002 (SOX), the expansive anti-retaliation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and the qui tam and anti-retaliation mechanisms of the False Claims Act (FCA). The course covers the roles of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Department of Justice (DOJ), and the Occupational Safety and Health Administration (OSHA) as key enforcement bodies.
Through scenario-based learning, detailed legal analysis, and actionable policy guidance, participants will leave equipped to build robust internal reporting systems, conduct fair and confidential investigations, and foster a speak-up culture that reduces organisational risk and meets all applicable federal obligations.
Course content
1. Module 1: The Legal Landscape — SOX, Dodd-Frank & the False Claims Act
- Lesson 1.1: Sarbanes-Oxley Act — Scope and Whistleblower Provisions
- Lesson 1.2: Dodd-Frank Act — SEC and CFTC Whistleblower Programmes
- Lesson 1.3: The False Claims Act — Qui Tam Provisions and Anti-Retaliation
2. Module 2: Identifying Protected Disclosures and Managing Incoming Reports
- Lesson 2.1: Recognising Protected Activity — What Triggers Legal Protection?
- Lesson 2.2: Receiving and Triaging a Disclosure — A Procedural Framework
3. Module 3: Conducting Fair and Lawful Investigations
- Lesson 3.1: Investigation Principles — Independence, Thoroughness and Documentation
- Lesson 3.2: Interviewing Witnesses and Managing the Alleged Subject
4. Module 4: Preventing and Responding to Retaliation
- Lesson 4.1: Understanding Retaliation — Forms, Indicators and Legal Tests
- Lesson 4.2: Anti-Retaliation Controls — Policies, Monitoring and Response
5. Module 5: Designing and Maintaining an Effective Compliance Programme
- Lesson 5.1: Internal Reporting Systems and SOX Audit Committee Obligations
- Lesson 5.2: Training, Governance and Continuous Improvement
6. Module 6: Regulatory Interaction, Enforcement and Organisational Accountability
- Lesson 6.1: Engaging with the SEC, CFTC, DOJ and OSHA
- Lesson 6.2: Accountability, Remediation and Embedding Long-Term Culture
7. Final Assessment
- Final Assessment
- 14 lessons
- Pass mark: 80%
- Completion certificate
You'll need a learner account to enrol.
Pay for 2–500 seats in one purchase. You'll receive an access code to share with your team.
Total: $1,245.00 + GST
Completion requirements
- Lessons and modules must be completed in order — each unlocks when the previous one is finished.
- Quizzes must be passed (pass mark 80%).
- Your certificate is issued automatically when every lesson is complete.
Unlock this course for free with a code from your organisation.