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Commissioner 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 […]
Read MoreSEC Attempts to add Climate Risk to the Regulatory Environment
Vigilant Insights Brief Introduction As part of the twenty-six new rules announced in the first eight months of 2022, the SEC proposed three rule amendments that could […]
Read MorePortfolio Manager Fined $250,000 for Undisclosed Conflict of Interest
SEC Releases Brief Introduction On January 5th, the SEC charged a Portfolio Manager $250,000 for failing to disclose a conflict of interest. The individual was charged […]
Read MoreThree Areas The SEC Could Increase Private Equity Scrutiny in 2023
Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023. The SEC has added more proposals […]
Read MoreFINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures
News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping policies and promptly alert FINRA […]
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