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At a time when the industry has seen an uptick in whistleblower rewards dolled out by regulators, a former investment manager at UBS has found himself on the opposite side of the fence, after claiming unfair dismissal and treatment for whistleblowing.
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A number of regulators foster the use of whistleblowers through incentivized programs to help aid in investigations. Regulators such as the US’ Commodity Futures Trading Commission (CFTC) and Securities Exchange Commission (SEC) routinely reward individuals or whistleblowers that have been instrumental in ... (read more)