GQG Partners settles SEC whistleblower protection charges
WEB6 hours 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 ...
Rajiv Jain's GQG Partners pays $500,000 to settle SEC charges over ...
WEB17 hours ago · GQG Partners, founded by Rajiv Jain, has agreed to pay a $500,000 to settle charges with the US Securities and Exchange Commission over alleged violations of whistleblower protection rules, the ...
NRI Rajiv Jain's GQG to pay $500,000 penalty to settle US SEC …
WEB16 hours ago · Synopsis. 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. US-based NRI investor Rajiv Jain-led GQG Partners, best known in India for investing in Adani stocks, has been charged by the US ...
GQG Partners to pay $500,000 penalty to settle US regulator SEC …
WEB11 hours 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 …
RIA firm to pay $500M penalty to settle SEC charges over alleged ...
WEB12 hours 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 million civil penalty.
SEC Charges Advisory Firm GQG Partners With Violating ... - MSN
WEBWithout 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. The SEC’s ...
GQG Partners settles SEC charges for whistleblower violation
WEB1 day 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 hit with SEC fine for violating whistleblower protection rules
WEB1 day 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.
GQG ASX: Rajiv Jain’s GQG cops $725,000 fine for muzzling would …
WEB20 hours 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 ...
Adani Group’s post-Hindenburg saviour GQG Partners ... - The News …
WEB12 hours 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 ...