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Vigilant Shortlisted as Best Compliance Advisory Firm for 2023

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2023. The Fund […]

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SEC Announces Strategic Plan for 2022-2026

SEC Releases Brief Introduction The SEC published a 16-page document highlighting their strategic plan for 2022 through 2026. In addition to comments from the SEC chair […]

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SEC Charges $4 Million Over Investments Misrepresented as ESG

SEC Releases Brief Introduction On November 22nd 2022, the SEC charged a major investment firm $4 Million dollars in relation to their management of Funds identified as Environmental, Social, […]

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Moving to a Proactive Compliance Approach | Vigilant Insights

Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President & CEO, Salvatore Faia, JD, […]

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$6.4 Billion in Penalties | SEC Enforcement Results for 2022

SEC Releases Brief Introduction The SEC announced on November 15th a large summary of their enforcement actions for the fiscal year of 2022. The SEC increased its enforcement […]

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SEC Compliance Program Outreach National Seminar | Key Takeaways

SEC Releases Brief Introduction Today, November 15th, the SEC just completed their Compliance Program Outreach National Seminar, which covered multiple important areas. SEC Chair, Gary […]

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SEC Adopts Key Reforms for Mutual Fund and ETF Disclosures

SEC Releases Brief Introduction On October 26th, the SEC adopted important disclosure reforms for the Mutual Fund and ETF industry. The expectation going forward will be […]

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Vigilant Monthly Newsletter | October 2022

Vigilant Monthly Newsletter In October, we saw important SEC releases, a proposed rule, an adopted rule, and charges, as well as important insights and announcements from […]

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New SEC Proposal | Focus on Open-End Fund Liquidity

SEC Releases Brief Introduction On November 2nd, the SEC voted to propose amendments with the goal of preparing Open-Ended Funds for future stressed conditions. The management of […]

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SEC Adopts Rules to Enhance Proxy Voting Disclosure

SEC Releases Brief Introduction The SEC announced Today, November 2nd, that they have adopted Amendments to Form N-PX. This will enhance the proxy vote reporting for Mutual Funds, ETFs, and […]

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How Outsourced Compliance Could Benefit Your Firm

  Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their compliance is an efficient, safe, […]

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SEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts

Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act of 1940 (“Advisers Act”) which […]

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