Whistleblower Program

On August 27, 2013, a covered associate of Respondent (the “Covered Associate”) made a $500 campaign contribution to a candidate for Governor of Massachusetts. After ...

On October 14, 2011 – after the Commission adopted Rule 21F-17 – BlackRock revised its form separation agreement to include language requiring a departing employee ...

The CFTC’s Office of Inspector General has released a report in which it expresses worry that the agency may not fully be protecting the identity ...

Investment advisers’ and broker-dealers’ compliance manuals, codes of ethics, employment agreements and severance agreements are being scrutinized by SEC examiners to determine whether they contain ...

The Staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to ...

It is important for participants in misconduct to understand that, in many circumstances, they are eligible for awards and we would like to hear from ...

The amendments make changes to other key areas such as: eligibility requirements; award claims review; contents of record for award determinations; whistleblower identifying information; and ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations to enhance the process for reviewing whistleblower claims and to make ...

The award is the fourth award made by the CFTC’s Whistleblower Program to a whistleblower who provided valuable information about violations of the Commodity Exchange ...

Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...