SEA 1934 Rule 21F-17
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SEC charges BD and affiliated IAs with violating Whistleblower Protection Rule
Charges revolve around impediments to whistleblowing and reporting functions.
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SEC’s Gurbir Grewal calls for culture of proactive compliance
SEC enforcement chief sets out three pillars underpinning effective culture, offers assurance on CCO liability.
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Another SEC Whistleblower Rule violation over employee-related documents
In the second case of its type in two weeks, the SEC has charged CBRE Group for violations of the SEC’s whistleblower protection rule.
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Activision Blizzard charged $35m for disclosure control failings and violating whistleblower rule
The gaming company failed to implement necessary controls to collect and review employee complaints about workplace misconduct.