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Violations of Whistleblower Protection Rule land RIA in hot water
GQG Partners crafted contractual language preventing disclosure of potential securities law violations by prospective and former employees.
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SEC charges seven firms for violations of Whistleblower Protection Rule
Companies required to drop employment contract clauses impeding whistleblower activity.
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JPMorgan to pay $18m for whistleblower protection rule violations
Firm said to have asked hundreds of clients to sign release preventing them from disclosing rulebreaking.
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Understanding enforcement actions against compliance teams
Assessing key points made by SEC enforcement chief Gurbir Grewal in his recent speech.
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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.