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Importance of a Strong Culture of Compliance | Chelsea Bosiljevac Insights

Vigilant Insights Introduction The most recent SEC enforcement involving recordkeeping and off-channel communications reinforces our opinion that there will be no slowing down for the Agency when it comes to electronic recordkeeping […]

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10 Firms Charged $79 Million for Recordkeeping Failures

SEC Releases Brief Introduction The SEC announced multiple charges on Friday, September 29th, for violations of recordkeeping requirements. The following type of Firms below were charged: 5 Broker […]

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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 […]

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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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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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