Whistleblowers | Investment Executive https://www.investmentexecutive.com/tag/whistleblowers/ Canada's news source for financial professionals Thu, 09 Oct 2025 17:12:56 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Whistleblowers | Investment Executive https://www.investmentexecutive.com/tag/whistleblowers/ 32 32 Complaint confidentiality in the public interest https://www.investmentexecutive.com/news/complaint-confidentiality-in-the-public-interest/ Thu, 09 Oct 2025 17:12:56 +0000 https://www.investmentexecutive.com/?p=522325 IPC upholds FSRA decision to protect identity of complainant

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]]> Court rules CEO’s firing violated OSC whistleblower protections https://www.investmentexecutive.com/news/from-the-regulators/court-rules-ceos-firing-violated-osc-whistleblower-protections/ Fri, 19 Sep 2025 16:58:07 +0000 https://www.investmentexecutive.com/?p=520712 Former CEO awarded $5.3 million in statutory damages for firing

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]]> OSC must disclose complaint, not the complainer https://www.investmentexecutive.com/news/from-the-regulators/osc-must-disclose-complaint-not-the-complainer/ Thu, 29 May 2025 20:42:56 +0000 https://www.investmentexecutive.com/?p=510981 Privacy commission upholds decision to protect tipster's identity

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]]> U.S. private equity execs get jail in fraud case https://www.investmentexecutive.com/news/from-the-regulators/u-s-private-equity-execs-get-jail-in-fraud-case/ Mon, 12 May 2025 18:04:09 +0000 https://www.investmentexecutive.com/?p=509600 Funds overstated performance, used investors' money to pay distributions

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]]> Tip that led to compliance exam gets rewarded https://www.investmentexecutive.com/news/from-the-regulators/tip-that-led-to-compliance-exam-gets-rewarded/ Tue, 22 Apr 2025 20:36:15 +0000 https://www.investmentexecutive.com/?p=507811 SEC pays tipster for info that spawned review, produced enforcement

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]]> Bill aims to bolster SEC enforcement tipline https://www.investmentexecutive.com/news/from-the-regulators/bill-aims-to-bolster-sec-enforcement-tipline/ Thu, 27 Mar 2025 13:13:10 +0000 https://www.investmentexecutive.com/?p=505579 Bipartisan proposal would extend anti-retaliation protections, speed up award decisions

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]]> Quant funds failed to guard models: SEC https://www.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://www.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://www.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://www.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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