Recent SEC Recordkeeping Charges | Vigilant Reacts

Vigilant Insights Brief Introduction As recently reported, the SEC has announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties of […]

Read More

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 […]

Read More