Whistleblowers | Investment Executive Canada's news source for financial professionals Mon, 13 Apr 2026 13:28:12 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://old.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Whistleblowers | Investment Executive 32 32 For whistleblowers, it matters who knocks first https://old.investmentexecutive.com/news/for-whistleblowers-it-matters-who-knocks-first/ Mon, 13 Apr 2026 13:28:12 +0000 https://www.investmentexecutive.com/?p=536105 Tipster denied payout after first alerting media, prompting SEC investigation

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]]> SEC enforcement drop is a feature, not a bug https://old.investmentexecutive.com/news/sec-enforcement-drop-is-a-feature-not-a-bug/ Wed, 08 Apr 2026 21:04:11 +0000 https://www.investmentexecutive.com/?p=535832 Agency details fundamental shift in approach to regulatory enforcement

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]]> SDNY offers companies ‘get out of jail free’ card https://old.investmentexecutive.com/news/sdny-offers-companies-get-out-of-jail-free-card/ Wed, 25 Feb 2026 15:47:19 +0000 https://www.investmentexecutive.com/?p=532515 U.S. attorney's office to hold individuals accountable for financial misdeeds

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]]> Whistleblower rewards out of fashion with U.S. regs https://old.investmentexecutive.com/uncategorized/whistleblower-rewards-out-of-fashion-with-u-s-regs/ Mon, 22 Dec 2025 13:00:16 +0000 https://www.investmentexecutive.com/?p=528233 CFTC pays second award of 2025, SEC's payouts out of the spotlight

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]]> Complaint confidentiality in the public interest https://old.investmentexecutive.com/news/complaint-confidentiality-in-the-public-interest/ Thu, 09 Oct 2025 17:12:56 +0000 https://www.investmentexecutive.com/?p=522325 IPC upholds FSRA decision to protect identity of complainant

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]]> Court rules CEO’s firing violated OSC whistleblower protections https://old.investmentexecutive.com/news/from-the-regulators/court-rules-ceos-firing-violated-osc-whistleblower-protections/ Fri, 19 Sep 2025 16:58:07 +0000 https://www.investmentexecutive.com/?p=520712 Former CEO awarded $5.3 million in statutory damages for firing

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]]> OSC must disclose complaint, not the complainer https://old.investmentexecutive.com/news/from-the-regulators/osc-must-disclose-complaint-not-the-complainer/ Thu, 29 May 2025 20:42:56 +0000 https://www.investmentexecutive.com/?p=510981 Privacy commission upholds decision to protect tipster's identity

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]]> U.S. private equity execs get jail in fraud case https://old.investmentexecutive.com/news/from-the-regulators/u-s-private-equity-execs-get-jail-in-fraud-case/ Mon, 12 May 2025 18:04:09 +0000 https://www.investmentexecutive.com/?p=509600 Funds overstated performance, used investors' money to pay distributions

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]]> Tip that led to compliance exam gets rewarded https://old.investmentexecutive.com/news/from-the-regulators/tip-that-led-to-compliance-exam-gets-rewarded/ Tue, 22 Apr 2025 20:36:15 +0000 https://www.investmentexecutive.com/?p=507811 SEC pays tipster for info that spawned review, produced enforcement

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]]> Bill aims to bolster SEC enforcement tipline https://old.investmentexecutive.com/news/from-the-regulators/bill-aims-to-bolster-sec-enforcement-tipline/ Thu, 27 Mar 2025 13:13:10 +0000 https://www.investmentexecutive.com/?p=505579 Bipartisan proposal would extend anti-retaliation protections, speed up award decisions

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