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SEC 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 […]
Read MoreVigilant 2023 Compliance Calendar
Vigilant Insights As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2023 Regulatory Filings Calendar, which includes Filing Deadlines for each […]
Read More5 Rules Released by the SEC Makes Waves for the Industry
SEC Releases Brief Introduction On December 14th, the SEC provided one adopted amendment, two proposed amendments, and two proposed rules. The large number of announcements should […]
Read MoreNew SEC Rules to be Aware of for 2023
Vigilant Insights Brief Introduction Four important SEC rules were discussed during the National Compliance Seminar last month. Two have already been adopted, continuing to add complexity to […]
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