The National Law Review4h
SEC Charges Two Sigma with Impeding Whistleblowing in Separation Agreements
On January 16, the U.S. Securities and Exchange Commission (SEC) announced settled charges against New York-based investment ...
JD Supra2d
Does Your Company Discourage Employees from Being Whistleblowers? The SEC May Think So!
The Dodd-Frank Wall Street Reform and Consumer Protection Act, which was enacted in 2010 in response to the 2008 financial crisis, added ...
Two Sigma Waited Four Years to Fix Known Flaw, SEC Alleges
Two Sigma Investments waited four years to address vulnerabilities that hedge fund employees noticed in its investment models ...
InvestmentNews1d
NYC advisors ignored vulnerabilities in models for four years, fined $90M
Two New York based investment advisors have been fined $90 million by the Securities and Exchange Commission for failing to ...
corporatecomplianceinsights.com4d
Whistleblowers Poised to Play Leading Role in Cybersecurity Enforcement
As U.S. authorities, including the DOJ and SEC, continue to make cybersecurity an enforcement priority, whistleblowers are ...
Pensions&Investments1d
Former WAMCO exec says Leech's questionable trades date back to 2012
A former Western Asset Management executive said he brought suspicious trading activity at the firm to the company’s ...
JD Supra1mon
Top 10 Whistleblowing and Retaliation Events of 2024
[10] The SEC has consistently maintained that such provisions can impede potential whistleblowers from reporting potential securities law violations. Each of the companies agreed to remediate the ...