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SEC Enforcement for Improper Whistleblower Contractual Limitations

SEC Enforcement for Improper Whistleblower Contractual Limitations
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The SEC Blows the Whistle on Improper Confidentiality Provisions | Sherman & Howard L.L.C.

On Friday, September 29, 2023, the Securities and Exchange Commission (“SEC”) issued a cease and desist and $10 million civil money penalty against D.E. Shaw & Co, L.P. (“DESCO”).. ....

United States , Sherman Howard , Exchange Act Rule , Exchange Commission , De Shaw Co , Dodd Frank Act , Internal Reporting Policy , Employee Handbook ,

Employers Are Strongly Encouraged to Revisit Whistleblower Protection Language in Agreements and Policies in Light of Recent Legal Developments, including SEC Enforcement Actions | Goodwin

On Friday, September 29, 2023, the Securities and Exchange Commission (the “SEC”) issued an order that censured D. E. Shaw & Co., L.P., a registered investment advisor in New York, and. ....

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