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

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

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Maintaining Messaging Compliance (Electronic Communications)

VIGILANT INSIGHTS Brief Introduction Failures in messaging compliance can be costly. In the fall of 2022, Firms were fined over $1.1 Billion for recordkeeping failures […]

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