The SEC awarded over a million dollars to a compliance professional who provided information that assisted the SEC in an enforcement action against the whistleblower’s company.
Tagged with "Securities and Exchange Commission"
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Former Wells Fargo Compliance Officer Charged With Unauthorized Document Alteration
Posted on October 27th, 2014 at 11:39 AM
The SEC announced an enforcement action against a former Wells Fargo Advisors compliance officer for altering documents without authorization during an investigation by the SEC.
SEC Panel Re-Defines the Threshold for Private Placement Investments
Posted on October 24th, 2014 at 12:54 PM
The SEC Investor Advisory Committee (IAC) voted to broaden the definition of sophisticated investors who can participate in private offerings.
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