Whistleblowers – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 17 Jan 2025 18:26:20 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Whistleblowers – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Quant funds failed to guard models: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

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]]> Research finds paying whistleblowers works https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/research-finds-paying-whistleblowers-works/ Wed, 11 Dec 2024 11:41:55 +0000 https://www.investmentexecutive.com/?p=498308 Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

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]]> CFTC boasts of record year for enforcement https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cftc-boasts-of-record-year-for-enforcement/ Thu, 05 Dec 2024 19:01:04 +0000 https://www.investmentexecutive.com/?p=498003 A pair of major crypto cases drove monetary relief to record heights

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]]> FCA backs away from enforcement disclosure plans https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-backs-away-from-enforcement-disclosure-plans/ Thu, 28 Nov 2024 19:18:50 +0000 https://www.investmentexecutive.com/?p=497609 Regulator responds to pushback on proposal to announce investigations

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]]> SEC reports record financial remedies https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-reports-record-financial-remedies/ Fri, 22 Nov 2024 22:46:58 +0000 https://www.investmentexecutive.com/?p=497326 Enforcement case volumes decline in fiscal 2024, agency says

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]]> Sweeps buoyed SEC enforcement: report https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sweeps-buoyed-sec-enforcement-report/ Fri, 22 Nov 2024 12:00:45 +0000 https://www.investmentexecutive.com/?p=497225 Brokers' texting, whistleblower protections among regulator's priorities

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]]> Why a rise in reported bullying at U.K. banks may be positive https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/why-a-rise-in-reported-bullying-at-u-k-banks-may-be-positive/ Fri, 25 Oct 2024 19:01:58 +0000 https://www.investmentexecutive.com/?p=495509 FCA review finds an increase in workplace complaints

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]]> OSC rewards foreign tipster https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/osc-rewards-foreign-tipster/ Wed, 23 Oct 2024 18:11:27 +0000 https://www.investmentexecutive.com/?p=495343 Regulator calls for more enforcement tips on emerging issues

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]]> SEC sanctions investment firm’s NDAs https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-sanctions-investment-firms-ndas/ Fri, 27 Sep 2024 18:46:29 +0000 https://www.investmentexecutive.com/?p=493551 Barriers to providing information to regulators violate whistleblower protections, SEC alleges

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]]> SEC tackles companies’ anti-whistleblower provisions https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-tackles-companies-anti-whistleblower-provisions/ Mon, 09 Sep 2024 18:18:26 +0000 https://www.investmentexecutive.com/?p=492291 Seven companies settle allegations that labour contracts violated SEC rules

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