Skip to Primary Navigation

Skip to main content

Violations of Whistleblower Protection Rule land RIA in hot water

Signing a Business Agreement
Photo: Getty Images

Alexander Barzacanos

2 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

GQG Partners crafted contractual language preventing disclosure of potential securities law violations by prospective and former employees.

The SEC announced settled charges against GQG Partners (GQG), a New York boutique RIA for its violation of the Dodd-Frank era Whistleblower Protection Rule.

GQG has agreed to pay a $500,000 penalty without admitting or denying the allegations.

The charges relate to NDAs the company entered into with employment candidates that

, , , , ,