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Showing 1 - 5 of 5 results for "Securities Exchange Act of"

GQG breaches SEC whistleblower protection laws

KARREN VERGARA  |  FRIDAY, 27 SEP 2024
... investigation," the SEC said. These provisions violated the whistleblower protection rule Rule 21F-17(a) of the Securities Exchange Act of 1934. Florida-based GQG said in a statement: "GQG takes its regulatory compliance obligations very seriously. We ...

J.P. Morgan pays US$18m over whistleblower rule breaches

JAMIE WILLIAMSON  |  WEDNESDAY, 17 JAN 2024
... voluntarily contact the regulator. The SEC found J.P. Morgan Securities breached Rule 21F-17 (a) of the Securities Exchange Act of 1934, a whistleblower protection that prohibits attempts to impede individuals communicating with the SEC about possible ...

Wall Street firms slugged $442m for recordkeeping breach

KARREN VERGARA  |  WEDNESDAY, 9 AUG 2023
... million. "Each of the broker-dealers was charged with violating certain recordkeeping provisions of the Securities Exchange Act of 1934 and with failing to reasonably supervise with a view to preventing and detecting those violations," the SEC said. ...

Startup founder charged for defrauding JPMorgan

JAMIE WILLIAMSON  |  WEDNESDAY, 5 APR 2023
... Javice with fraud, specifically violating the antifraud provisions of the Securities Act of 1993 and Securities Exchange Act of 1934. The SEC said Javice made numerous misrepresentations about Frank's users to entice JPMorgan into the sale. She received ...

JPMorgan Chase to pay bribery fines

KERRIE SYDEE  |  FRIDAY, 18 NOV 2016
... JPMorgan Chase & Co violated the anti-bribery, books and records, and internal controls provisions of the Securities Exchange Act of 1934. The firm agreed to pay US$105,507,668 in disgorgement plus US$25,083,737 in interest to settle the SEC's case. ...
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