On Friday, September 29, 2023, the Securities and Exchange Commission (the “SEC”) issued an order that censured D. E. Shaw & Co., L.P., a registered investment advisor in New York, and assessed a civil penalty of $10,000,000...more
10/4/2023
/ Civil Monetary Penalty ,
Consent Order ,
Corporate Counsel ,
Employment Contract ,
Employment Policies ,
Enforcement Actions ,
Former Employee ,
Non-Disclosure Agreement ,
Registered Investment Advisors ,
Regulatory Requirements ,
Release Agreements ,
Rule 21F-17 ,
Securities and Exchange Commission (SEC) ,
Separation Agreement ,
Statutory Requirements ,
Whistleblower Protection Policies