Blog

Reg BI Violations | Broker Suspended

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

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Vigilant Compliance Newsletter | December 2023

Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what took place in the month […]

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Private Funds Forced to Adapt to Ongoing SEC Regulations

News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the regulatory requirements for Private Funds […]

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Increased Compliance Investments Indicated by Survey

News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our aggressive regulatory climate. We discussed […]

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Vigilant Compliance Newsletter | September 2023

Monthly Newsletter In September, we saw SEC Charges, new Adopted Rules, and Insights from Vigilant. Below is a brief overview of what took place in the month of […]

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New Private Fund Rule Compliance Date

News and Alerts Effective Date Now Set for the Private Fund Rule The SEC recently adopted the new Private Fund Rule for Private Funds and Private Fund Advisers. […]

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Vigilant Monthly Newsletter | August 2023

Vigilant Monthly Newsletter | August 2023 In August, we saw many Insights directly from the Vigilant Team, SEC New Rules and Releases, SEC Charges, Vigilant Insights and Announcements, […]

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SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd

News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August 23rd at 10:00am. It is highly […]

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New Cybersecurity Rule Compliance Dates

News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement dates would rely on the […]

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Off-Channel Communication Still a Major Regulatory Focus

NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related to employee off-channel communications. It […]

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SEC Will Increase Examiners With Budget Increase

NEWS AND ALERTS Brief Introduction SEC Chairman, Gary Gensler, spoke with senators last week about his plans for the $194 million dollar increase in funds […]

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High Demand for Mock Exams

NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule releases, billions in financial punishments, […]

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