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Keyword: Whistleblower

25 results found
Silver referee whistle

Clues are often buried in technical information, the regulator says

Hands Giving & Receiving Money

The individual provided “extensive and sustained assistance” to the SEC

Wolf In Sheeps Clothing seamless Background, wolf dressed in sheep fleece hiding out in the flock

Three victims of fraud notified SEC of scheme targeting retail investors

Silver referee whistle

It's the first award under a program designed to incentivize internal reporting

  • By: Staff
  • May 24, 2019 May 24, 2019
  • 14:24
Silver referee whistle

In total, the SEC has now paid out approximately US$376 million to 61 whistleblowers

  • By: Staff
  • March 26, 2019 March 26, 2019
  • 11:45
Silver referee whistle

The rewards are the first under the regulator's program, launched in 2016

whistle-blow

Comparing the success of investor protection programs in Canada and the U.S.

Why it doesn’t impress

Are you prepared to participate in the OSC’s new program?

The SEC investigated a record-breaking 160 cases against advisors in the past year.

  • By: Staff
  • October 12, 2016 August 21, 2018
  • 12:25