The Securities and Exchange Commission (SEC) continues to investigate companies for including language in their employment and separation agreements or retail client settlement agreements that potentially discourages...more
9/18/2024
/ Broker-Dealer ,
Dodd-Frank ,
Employees ,
Employment Contract ,
Enforcement Actions ,
Financial Institutions ,
Financial Markets ,
Government Agencies ,
Investment Adviser ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Separation Agreement ,
Settlement Agreements ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Summary -
The Securities and Exchange Commission (SEC) is reportedly nearing a settlement with a nationally recognized statistical rating organization (NRSRO) over its failure to preserve certain credit-ratings...more
Summary -
Two more broker-dealers became the latest financial institutions to settle with the SEC for failing to maintain and preserve electronic communications. What distinguishes these settlements from the 17 prior...more