SEA 1934 Rule 21F-17
-
SEC charges seven firms for violations of Whistleblower Protection Rule
Companies required to drop employment contract clauses impeding whistleblower activity.
-
SEC charges BD and affiliated IAs with violating Whistleblower Protection Rule
Charges revolve around impediments to whistleblowing and reporting functions.
-
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.
-
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.
-
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.