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Whistleblower Program
On May 9, 2013, a covered associate of Respondent (the “Covered Associate”) made a $400 campaign contribution to a candidate for the office of Mayor ...
Between July 2013 and September 2013, a covered associate of Respondent (the “Covered Associate”) made three campaign contributions totaling $1,425 to a candidate for the ...
On October 6, 2015, a covered associate of Respondent (the “Covered Associate”) made a $1,000 campaign contribution to the Governor of Ohio. After the contribution ...
In March 2012, a covered associate of Respondent (the “Covered Associate”) made a campaign contribution totaling $10,000 to a candidate for the office of the ...
On October 29, 2013, a covered associate of Respondent (the “Covered Associate”) made a $1,000 campaign contribution to a candidate for Governor of Illinois. After ...
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 ...