Compliance Radar

Who was sanctioned, and for what?

Fines, court rulings and incidents from Europe and North America: 756 cases from 32 jurisdictions, each with an official source and checked against that source before publication. Filter by country, area of law and sector. Click a chart to drill down one level.

Whistleblower protection Financial services and insurance GQG Partners LLC Clear all filters

1case from 1 jurisdiction

€448,229Total of monetary amounts

€448,229Largest single case: GQG Partners LLC

€448,229Median per case with an amount

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USA €448,229 100 % · 1 case

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Retaliation against whistleblowers €448,229 100 % · 1 case

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When?

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Trend
Period	Cases	Total
Q3 2023	0	—
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Q1 2024	0	—
Q2 2024	0	—
Q3 2024	1	€448,229
Q4 2024	0	—
Q1 2025	0	—
Q2 2025	0	—
Q3 2025	0	—
Q4 2025	0	—
Q1 2026	0	—
Q2 2026	0	—
Q3 2026	0	—

1 case

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26 Sep 2024 GQG Partners LLCSEC: GQG Partners pays 500,000 US dollars over NDAs and severance agreement USARetaliation against whistleblowers €448,229

The asset manager had twelve job applicants sign NDAs that prohibited voluntary reports to authorities, and, in a settlement agreement, required a former employee who had announced a report to the SEC to confirm that he had not initiated any investigation and to withdraw statements already made. The U.S. Securities and Exchange Commission (SEC) took cooperation and remediation into account and imposed 500,000 US dollars.

What organisations can take from it

Companies concluding a settlement with a whistleblower may require neither the withdrawal of nor a waiver of reports to authorities.

Relevance to training and awareness

Handling announced reports to authorities in separation negotiations

Authority / court: U.S. Securities and Exchange Commission
Area of law: Whistleblower protection · Retaliation against whistleblowers
Legal basis: Securities Exchange Act of 1934, Rule 21F-17(a); Investment Advisers Act Section 203(e)
Action: Fine
Status of proceedings: final
Sector: Financial services and insurance
Employees: 50 to 249
Mitigating circumstances: Cooperation with the SEC and prompt remedial measures
Published: 26 Sep 2024

Original amount 500,000 USD, converted at the ECB reference rate of 26 Sep 2024.

Sources

In the Matter of GQG Partners LLC, Release No. 34-101200 Decision of an authority

Checked against the official source on 25 Sep 2026 · Direct link

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How the radar is compiled

Official sources only

Every case is based on a decision, press release or database of an authority or a court. Press and law-firm reports count at most as additional references.

Four-eyes check

Whoever enters a case may not approve it. A second, independent check compares company, date, amount and area of law with the source. Only then is the case published.

Comparable amounts

Amounts are converted at the ECB reference rate on the day of the decision. Each case also shows the original amount.

Corrections on record

A correction is a new version that is checked again. Every change is logged. You can report errors directly on each case.

Case texts are translated from the German original. Where a translation is not yet available, the German text is shown and marked “(German original)”. Names of authorities, laws and companies are given as in the source.

The radar reports on published decisions and is not legal advice. Decisions that are not yet final are marked as such where the status is known.

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