Whistleblowers – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 08 Mar 2024 13:35:48 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Whistleblowers – Investment Executive https://www.investmentexecutive.com 32 32 U.S. DOJ plans to pay whistleblower awards https://www.investmentexecutive.com/news/from-the-regulators/u-s-doj-plans-to-pay-whistleblower-awards/ Fri, 08 Mar 2024 13:35:48 +0000 https://www.investmentexecutive.com/?p=481861 Program aims to close gaps involving crimes that aren't cases for SEC, CFTC

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]]> OSC awards tipster $1.5 million https://www.investmentexecutive.com/news/from-the-regulators/osc-awards-tipster-1-5-million/ Tue, 27 Feb 2024 18:14:42 +0000 https://www.investmentexecutive.com/?p=481139 Information expanded an investigation, helped protect investors

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]]> U.S. Supreme Court upholds whistleblower protections https://www.investmentexecutive.com/news/from-the-regulators/u-s-supreme-court-upholds-whistleblower-protections/ Fri, 09 Feb 2024 20:38:04 +0000 https://www.investmentexecutive.com/?p=480338 Analyst was fired after claiming traders tried to influence research

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]]> JP Morgan to pay US$18 million over confidential settlements https://www.investmentexecutive.com/news/from-the-regulators/jp-morgan-to-pay-us18-million-over-confidential-settlements/ Tue, 16 Jan 2024 16:52:02 +0000 https://www.investmentexecutive.com/?p=478707 The SEC sanctioned the firm for violating whistleblower protections

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]]> SEC awards US$28 million to seven whistleblowers https://www.investmentexecutive.com/news/from-the-regulators/sec-awards-us28-million-to-seven-whistleblowers/ Fri, 22 Dec 2023 16:10:27 +0000 https://www.investmentexecutive.com/?p=477825 One individual and two sets of joint tipsters share rewards

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]]> FSRA proposes guidance on life agent fitness https://www.investmentexecutive.com/news/from-the-regulators/fsra-proposes-guidance-on-life-agent-fitness/ Wed, 22 Nov 2023 18:06:10 +0000 https://www.investmentexecutive.com/?p=475869 Draft guidance forms part of larger effort to improve industry conduct

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]]> SEC ramps up enforcement activity https://www.investmentexecutive.com/news/from-the-regulators/sec-ramps-up-enforcement-activity/ Wed, 15 Nov 2023 18:43:15 +0000 https://www.investmentexecutive.com/?p=475404 Whistleblower tips and rewards continue to climb

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]]> BCSC offers whistleblower awards https://www.investmentexecutive.com/news/from-the-regulators/bcsc-offers-whistleblower-awards/ Tue, 07 Nov 2023 17:36:10 +0000 https://www.investmentexecutive.com/?p=474703 Regulator to pay between $1,000 and $500,000 for enforcement tips

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]]> CFTC rewards pair of tipsters https://www.investmentexecutive.com/news/from-the-regulators/cftc-rewards-pair-of-tipsters/ Tue, 19 Sep 2023 19:27:36 +0000 https://www.investmentexecutive.com/?p=471870 Whistleblowers provided extensive ongoing cooperation, regulator said

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]]> Private firms must follow whistleblower rules too: SEC https://www.investmentexecutive.com/news/from-the-regulators/private-firms-must-follow-whistleblower-rules-too-sec/ Fri, 08 Sep 2023 17:43:35 +0000 https://www.investmentexecutive.com/?p=471234 Company sanctioned for employee agreements that waived rights to whistleblower awards

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