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.

 

$81 Million Fines for Recordkeeping Failures (RIAs/BDs)

February 09, 2024

SEC Releases Introduction The SEC just announced that sixteen (16) Firms have been penalized $81 Million for widespread and longstanding recordkeeping failures. The types[...]

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Failure of Properly Implementing WSPs | FINRA Fine

February 06, 2024

FINRA Introduction A FINRA Firm was recently disciplined for failures to properly implement WSPs that would adequately review the electronic communications of its registered[...]

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Vigilant Compliance Newsletter | January 2024

February 02, 2024

Monthly Newsletter In January, we saw multiple Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a[...]

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Vigilant 2024 Compliance Calendar | Download Here

January 29, 2024

Vigilant Insights Introduction As you continue to prepare for the new year, be sure to check out Vigilant’s 2024 Regulatory Filings Calendar, which[...]

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Reg BI Violations | Broker Suspended

January 29, 2024

News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were[...]

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SEC Adopts Rules Relating to SPACs, Shell Companies, and Projections

January 25, 2024

SEC Releases Introduction On January 24th, the SEC adopted final rules and amendments to enhance disclosures and provide additional investor protections in initial public[...]

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A Partnership Driven Compliance Provider | Vigilant

January 24, 2024

Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why[...]

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Potential 2024 SEC Rule Adoptions

January 20, 2024

Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is[...]

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7 Effective Compliance Strategies for 2024

January 16, 2024

Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong[...]

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Electronic Communication Recordkeeping and SEC Enforcements

January 12, 2024

Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have[...]

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Top SEC Releases and Vigilant Insights from 2023

January 10, 2024

Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024,[...]

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How to Prepare for an SEC Examination | Vigilant Insights

January 09, 2024

Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of[...]

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