Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
SEC Releases
Reg BI Violations Result in $325k Charge for Broker Dealer
September 30, 2024SEC RELEASES Introduction The SEC announced charges against a Broker Dealer on September 18th, 2024, for violations pertaining to Regulation[...]
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SEC Releases
Compliance Program Oversight Failure for an RIA Results in $150k Fine
September 27, 2024SEC Releases Introduction The SEC announced on September 20th, 2024, that a New York RIA with $723 Million in AUM[...]
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SEC Releases
Recordkeeping Violations Display No Slow Down | $1.3M in Fines
September 19, 2024SEC RELEASES Introduction Recordkeeping failures have been costly for multiple Firms in the past few years. We have seen recent[...]
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SEC Releases
$1.2 Million in Marketing Rule Violations | 9 Firms Charged
September 10, 2024SEC RELEASES Introduction On September 9th, 2024, the SEC announced charges against nine (9) Firms for Marketing Rule violations. The[...]
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SEC Releases
3 SEC Charges | Marketing Rule, Recordkeeping, and Custody Rule
September 06, 2024SEC RELEASES Introduction September 3rd, 2024 was a busy day for SEC Enforcement. There were Recordkeeping failures amongst six Credit[...]
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SEC Releases
26 Firms Fined $392 Million | Recordkeeping Failures
August 16, 2024SEC Releases Introduction On August 14th, 2024, nearly $400 million in charges were filed against twenty-six (26) Firms by the SEC for widespread recordkeeping failures. Recordkeeping failures[...]
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SEC Releases
$430k Marketing Rule Fine on Hypothetical Performance
August 13, 2024SEC RELEASES Introduction An RIA based in Washington was charged by the SEC on August 9th, 2024, for Marketing Rule[...]
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SEC Releases
SEC Spring 2024 Regulatory Agenda Released
July 09, 2024SEC RELEASES Proposed Rules Up for Final Approval! On July 8th, the SEC released their Spring 2024 Regulatory Agenda. In[...]
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SEC Releases
Cybersecurity Violations Result in $2.1 Million Penalty
June 19, 2024SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control[...]
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SEC Releases
SEC Chair and Commissioners Discuss AI | SEC Releases
June 14, 2024SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient[...]
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SEC Releases
Risk Alert on Broker Dealer Examinations
June 07, 2024SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers.[...]
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SEC Releases
How to Cooperate During SEC Investigations | SEC Releases
June 05, 2024SEC Releases Introduction On May 23rd, SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West[...]
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