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Firm Fines Employees for Unauthorized Whatsapp Use
News & Alerts Brief Introduction A well known large firm recently issued fines of up to $1 Million to some of its employees for using unapproved mobile messaging […]
Read MoreSEC Division of Examinations Releases 2023 Priorities | 7 Takeaways
SEC Releases Brief Introduction On February 7th, the SEC Division of Examinations announced its priorities for 2023. This contains a significant number of priorities; this is unsurprising considering the plethora […]
Read MoreVigilant Monthly Newsletter | January 2023
Monthly Newsletter In January, we saw SEC Releases and Charges, as well as many important insights from Vigilant. Below is a brief overview of what took […]
Read MoreSEC Issues Risk Alert Related to Regulation Best Interest
SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]
Read MoreCommissioner Uyeda Discusses ESG In Depth | SEC Releases
SEC Releases Brief Introduction SEC Commissioner, Mark Uyeda, made multiple remarks on January 27th related to the use of environmental, social, and governance (ESG) investing. […]
Read MoreSEC Amendments to Form 13F Are Now in Effect
Vigilant Insights Brief Introduction The amendments for Form 13F announced in June 2022 have taken effect January 3rd, 2023. The SEC made these amendments to require certain paper filings to […]
Read MoreFirm Charged $5 Million for Misleading Disclosures
SEC Releases Brief Introduction On January 23rd, the SEC charged a firm five million dollars for misleading disclosures. The firm provided a subscription service that provided daily price […]
Read MoreSEC Plans to Finalize Multiple Proposed Rules for 2023
Vigilant Insights Brief Introduction The SEC proposed twenty-four rules in 2022. According to recent announcement, the rules are expected to be potentially finalized in their entirety […]
Read More“On The Fly Compliance” Will No Longer Fly With Current Regulatory Environment
Vigilant Insights Brief Introduction The SEC charged close to $6.4 billion to firms and individuals in 2022, a record setting number. Maximum penalties are being pursued by […]
Read MoreFINRA Releases 2023 Risk Monitoring Report | 4 Key Topics
News & Alerts Brief Introduction On January 10th, FINRA published a report for 2023 to help firms strengthen their compliance programs. The report covered twenty-four topics, with new topics […]
Read MoreSEC May Be Accelerating Their Regulatory Agenda For 2023
Vigilant Insights Brief Introduction In 2022, multiple SEC announcements made waves throughout the Industry. There is concern that the SEC’s regulatory agenda for 2023 may be even more aggressive than the […]
Read MoreSEC Updates Marketing Rule FAQs
SEC Releases On January 11th, the SEC released updated Marketing Rule FAQs. See below for key takeaways. Key Takeaways from the SEC Gross and Net […]
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