The SEC says the compliance officer reported inappropriate activities to superiors, who failed to correct the situation.
Estimated reading time: 0 minutes, 14 seconds
Whistleblower to Get More Than $1.4M Reward
- Wednesday, Apr 29 2015
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission says it expects to give an unnamed compliance officer a whistle blower award that could exceed $1.4 million. So reports ThinkAdvisor.