SEC Alleges Employer s Compliance Manual Violates Rule 21F-17
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SEC s Division of Enforcement is Not Taking a Summer Break, Widespread Audit Failures by Private Fund Auditor, Revenue Sharing and Conflict Disclosure Charges Continue, Whistleblower Policy Failures and More: Lessons Learned and Worth Reading, Watching and Listening for August 2021 | Foreside
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Review of Recent Whistleblower Developments - July 2021 | Foley & Lardner LLP
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Friday, July 30, 2021
SEC Charges Financial Services Firm with Violating Rule Protecting Whistleblowers
On June 23, 2021, the SEC announced settled charges against broker-dealer Guggenheim Securities for violating SEC Rule 21F-17, which prohibits taking action to impede a whistleblower from communicating with the SEC staff about potential securities law violations. See Order here. The SEC’s order found that the firm, in its compliance manual and in training presentations, instructed employees that they could not initiate contact with a regulator without approval from the firm’s legal or compliance department. In response to the SEC’s inquiry, the firm removed the objectionable language