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Vigilant Insights Who Is This Applicable To? Registered Investment Advisers (“RIAs”) Mutual Funds Exchange Traded Funds (“ETFs”) Broker Dealers Firms meeting the requirements for SEC […]
Read MoreSEC Charges Investment Advisory Firm For Trading Violations
SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve around SEC Rule 105, which is designed […]
Read MoreSEC Finalizes Rule Changes for Settlement Cycles
SEC Releases Brief Synopsis On February 15th, the SEC formally adopted rule changes to reduce the settlement cycle for most Broker Dealer transactions. Their goal is to reduce risk, […]
Read MoreNew SEC Proposed Rule | RIA Protection of Customer Assets
SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February 15th to amend and redesignate rule 206(4)-2 of […]
Read MoreSEC May Change Climate Risk Disclosure Requirements | Industry Pushback
News & Alerts Brief Introduction In 2022, the SEC proposed new disclosure requirements related to climate change risk for firms. They argue that firms should be required to […]
Read MoreFirm 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 […]
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