GQG Partners settles SEC whistleblower protection charges
WEB2 days ago · Bloomberg News. GQG Partners agreed to settle Securities and Exchange Commission charges over whistleblower protection violations. The firm, which owns Fort Lauderdale, Fla.-based boutique ...
RIA firm to pay $500K penalty to settle SEC charges over alleged ...
WEB3 days ago · GQG did not admit or deny the SEC’s findings but agreed to be censured, to cease and desist from violating the whistleblower protection rule, and to pay a $500,000 civil penalty. ... Latest News ...
Rajiv Jain's GQG Partners pays $500,000 to settle SEC charges over ...
WEB3 days ago · GQG Partners has also made significant bets across infrastructure, consumer goods and energy sectors. GQG Partners, founded by Rajiv Jain, has agreed to pay a $500,000 to settle charges with the ...
GQG Partners settles SEC charges for whistleblower violation
WEB3 days ago · The SEC announced on Sept. 26 that Fort Lauderdale-based GQG Partners agreed to pay $500,000 for allegedly entering into non-disclosure agreements with a former employee and other job candidates ...
GQG Partners to pay $500,000 penalty to settle US regulator SEC …
WEB3 days ago · Home / Markets / News / GQG Partners to pay $500,000 penalty to settle US regulator SEC charges. ... “The SEC’s order finds that GQG violated whistleblower protection Rule 21F-17(a), which prohibits any action to impede an individual from communicating directly with the SEC staff about a possible …
GQG ASX: Rajiv Jain’s GQG cops $725,000 fine for muzzling would …
WEB3 days ago · Rajiv Jain’s GQG cops $725,000 fine for muzzling would-be whistleblowers. Rajiv Jain’s GQG Partners has been slapped with a fine from the US Securities and Exchange Commission for violating ...
GQG hit with SEC fine for violating whistleblower protection rules
WEB4 days ago · GQG Partners has agreed to pay a fine after federal regulators found the firm violated whistleblower protection rules. According to a Thursday announcement from the Securities and Exchange Commission (SEC), the firm entered into agreements with potential job candidates and former employees that made it difficult for them to report potential securities violations to regulators.
Adani Group’s post-Hindenburg saviour GQG Partners ... - The …
WEB3 days ago · GQG is ordered to cease and desist from further violations of Exchange Act Rule 21F-17(a). A formal expression of disapproval for GQG’s conduct has been given, and a civil penalty of USD 500,000 ...
News | GQG Partners
WEBGQG Partners Ltd is licensed by the ADGM’s Financial Services Regulatory Authority (FSRA) to conduct the regulated activities of Managing a Collective Investment Fund, Advising on Investments or Credit, Arranging Deals in Investments, Managing Assets, Shari’a-compliant Regulated Activities.
GQG breaches SEC whistleblower protection laws
WEB3 days ago · BY KARREN VERGARA | FRIDAY, 27 SEP 2024 12:39PM. GQG Partners was hit with a US$500,000 fine by the US Securities and Exchange Commission (SEC) for violating whistleblower protection laws via the use of non-disclosure agreements (NDAs). The watchdog found NDAs the fund manager entered with 12 potential employees and a former one prohibited them ...
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