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Brokerage Firm Charged by SEC for Violating Reg BI Standards
Brief Introduction On June 16th, the SEC announced that they had charged a registered broker-dealer and five of its registered representatives for violating Reg BI in their recommendation […]
Read MoreIndustry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures
Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful information for making their investment […]
Read MoreSEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers
Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information Providers Acting as Investment Advisers. […]
Read MoreVigilant Monthly Newsletter | June 2022
In June, we saw important SEC Releases, SEC Charges, important insights from Vigilant, and an adopted new Rule. Below is a brief overview of what […]
Read MoreSEC Imposes Largest Penalty Ever Against an Audit Firm
Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA Ethics Exam and withholding evidence […]
Read MoreSEC Adopts Rules to Require Electronic Filings
Brief Introduction On Thursday, June 23rd, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to […]
Read MoreSpring 2022 Regulatory Agenda | SEC Announcements
Brief Introduction On Wednesday, June 22nd, the SEC announced that the Office of Information and Regulatory Affairs released the Spring 2022 Unified Agenda of Regulation and Deregulatory […]
Read MoreSEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund
Brief Introduction Today, June 14th, the SEC announced that they charged a Private Equity Adviser with allocating undisclosed, disproportionate expenses to a private equity fund it advises. […]
Read MoreVigilant Monthly Newsletter | May 2022
For May’s version of Vigilant’s Monthly Newsletter, we saw an important SEC Proposed Rule, SEC Releases, and important insights from Vigilant. Below is a brief […]
Read More5 Current Trends in Compliance
Brief Introduction to the Trends in Compliance As we get closer to Q3, we have seen a lot of forecasted trends for 2022 already taking […]
Read MoreSEC’s First-Ever Enforcement Proceeding Under Section 11 Of The Investment Company Act Of 1940
Brief Introduction Last week, the SEC’s first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching or replacement of variable annuities. […]
Read MoreSEC Proposes New Rule Towards ESG Investment Practices
Brief Introduction On Wednesday, May 25th, the SEC released Proposed ESG Related Amendments for Funds and Advisers. Who Does This Apply To? This Proposed Rule is applicable to […]
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