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DE Shaw Fined $10M For Impeding Potential Whistleblowers

By Katryna Perera ( September 29, 2023, 12:31 PM EDT) -- The U. S. Securities and Exchange Commission on Friday reached a $10 million deal with D. E. Shaw & Co. LP to resolve allegations that the New York-based registered investment adviser prevented employees from whistleblowing by requiring them to sign agreements that prohibited the disclosure of confidential corporate information to third parties. . . .

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