News & Analysis as of October 13, 2024

Confidentiality Agreements

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FCPA Pilot Program

Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders

DarrowEverett LLP on 2/22/2024

The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law...more

SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements With Retail Clients

K&L Gates LLP on 2/15/2024

As the year gets underway, the Securities and Exchange Commission (SEC or Commission) is continuing its ongoing enforcement efforts to target anti-whistleblower practices by pursuing a broader range of entities and...more

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Voluntary Disclosure › Civil Monetary Penalty › Confidentiality Agreements

Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders

SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements With Retail Clients

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