Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: GQG Partners LLC
Penalty: $500,000
Year: 2024
Date: September 26, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: GQG Partners LLC, a registered investment adviser, for entering into agreements with candidates for employment and a former employee that made it more difficult for them to report potential securities law violations to the SEC.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.