Whistleblower Program

Waiting to address known vulnerabilities could have negatively impacted clients' investment returns

TSI and TSA breached their fiduciary duty to take reasonable steps to protect their clients’ interests from recognized material vulnerabilities to certain Models, which were ...

Need ideas to refresh your whistleblower P&Ps? Try this sample

SEC enforcement actions demonstrate how seriously the Commission takes barriers to the reporting of information to the agency

Commissioners Peirce and Uyeda question unnecessary redactions of final award determinations in the name of whistleblower confidentiality

"Unnecessary redaction of final award determinations in the name of whistleblower confidentiality limits public information about the awards, and that, in turn, insulates the awards ...

The SEC found that confidentiality agreements contained provisions that impeded clients from reporting potential securities violations to the Commission

Whistleblower rule violations because the confidentiality agreements impeded clients from reporting potential securities law violations to the Commission

The SEC warned that investors "must be free to report complaints to the SEC without any interference"

SEC Chairman Gary Gensler has said TCRs are essential to the Commission's "work as a cop on the beat"