GQG, SEC
RIA firm to pay $500K penalty to settle SEC charges over alleged whistleblower curbs
A registered investment advisor firm headquartered in Florida is to pay a $500,000 civil penalty to settle charges from the Securities and Exchange Commission relating to whistleblowing.
Rajiv Jain's GQG Partners pays $500,000 to settle SEC charges over whistleblower protection rules
GQG Partners settled without admitting or denying wrongdoing while acknowledging the US SEC's jurisdiction in the case.
GQG Partners settles suit with US Securities and Exchange Commission, pays penalty of $500,000
The US regulatory body said in a statement that it has settled charges against the Florida-based GQG Partners LLC, for entering into agreements with candidates for employment and a former employee tha
GQG Partners to pay $500,000 penalty to settle US regulator SEC charges
Boutique investment firm GQG Partners has settled charges of potential violations of whistleblower rules with the Securities and Exchange Commission (SEC)—the regulatory body in the United States—by paying a $500,000 penalty.
SEC charges GQG Partners with violating whistleblower protection rule
The Securities and Exchange Commission of the United States has settled charges against Florida-based GQG Partners LLC, a registered investment adviser, for entering into agreements with candidates for employment and a former employee that made it more difficult for them to report potential securities law violations to the SEC.
SEC Charges Advisory Firm GQG Partners With Violating Whistleblower Protection Rule
The Securities and Exchange Commission today announced settled charges against Florida-based GQG Partners LLC, a registered investment adviser, for entering into agreements with candidates for employment and a former employee that made it more difficult for them to report potential
GQG Partners settles SEC whistleblower protection charges for $500,000
GQG Partners, the asset management firm founded by Rajiv Jain, has agreed to pay $500,000 to resolve allegations brought by the US Securities and Exchange Commission (SEC) regarding violations of whistleblower protection rules, media reports said.
Rajiv Jain’s GQG cops $725,000 fine for muzzling would-be whistleblowers
US regulator hauls up the fund management giant for violating whistleblower protections by making staff sign overly restrictive non-disclosure agreements.
NRI Rajiv Jain's GQG to pay $500,000 penalty to settle US SEC charges
Without admitting or denying the SEC’s findings, GQG agreed to be censured, to cease and desist from violating the whistleblower protection rule, and to pay a $500,000 civil penalty, it said in a release.
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GQG Partners settles SEC whistleblower protection charges
GQG Partners agreed to settle Securities and Exchange Commission charges over whistleblower protection violations.
Investor Daily2d
GQG subsidiary slapped with whistleblower protection fine, share price slumps
The US Securities and Exchange Commission (SEC) has settled charges against a Florida-based wholly owned subsidiary of ASX-listed GQG Partners for entering into agreements with candidates for ...
GQG Partners to pay $500,000 as penalty to SEC for violating whistleblower protection rules
GQG Partners, founded by Rajiv Jain, has agreed to pay $500,000 to resolve charges brought by the US Securities and Exchange ...
One of South Florida's top investment firms settles SEC charges
The company is the second-largest investment firm based in South Florida with over $120 billion in assets under management.