Friday, July 30, 2021
SEC Charges Financial Services Firm with Violating Rule Protecting Whistleblowers
On June 23, 2021, the SEC announced settled charges against broker-dealer Guggenheim Securities for violating SEC Rule 21F-17, which prohibits taking action to impede a whistleblower from communicating with the SEC staff about potential securities law violations. See Order here. The SEC’s order found that the firm, in its compliance manual and in training presentations, instructed employees that they could not initiate contact with a regulator without approval from the firm’s legal or compliance department. In response to the SEC’s inquiry, the firm removed the objectionable language
Qui sont Benchmark Group et Madagascar Oil ?
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Elisha Kobre Joins Bradley s Dallas Office
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Biden Administration Targets Global Corruption and Demonstrates Expansive Use of Magnitsky Sanctions | Pillsbury - Global Trade & Sanctions Law
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