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BlackRock to settle charges over staff separation agreements

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The Securities and Exchange Commission has announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000 penalty to settle charges that it improperly used separation agreements in which exiting employees were forced to waive their ability to obtain whistleblower awards.

SEC Names Deputy Director

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The Securities and Exchange Commission has announced that Andrew J. Bowden has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

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BlackRock to settle charges over staff separation agreements

The Securities and Exchange Commission has announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000 penalty to settle charges that it improperly used separation agreements in which exiting employees were forced to waive their ability to obtain whistleblower awards.