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Vigilant Shortlisted | Hedgeweek US Emerging Manager Awards
Vigilant Announcements After being selected for 2 Awards last year by Hedgeweek for their US Emerging Manager Awards, Vigilant is thrilled to announce that we have been shortlisted for 2 Awards this year that are […]
Read MoreMandatory Disclosures | Gensler Discusses at Columbia Law
SEC RELEASES Introduction On March 22nd, SEC Chair, Gary Gensler, spoke at a Columbia Law School conference. He discussed the importance of mandatory disclosures in […]
Read MoreMisleading AI Statements | SEC Charges Two Firms
SEC Releases Introduction On March 18th, the SEC announced charges against two Investment Advisers. Both Firms were found to have made false and misleading statements about their use […]
Read MoreSEC Commissioner, Mark Uyeda, Discusses the Administrative State
SEC Releases Introduction SEC Commissioner, Mark Uyeda, recently addressed the Council of Institutional Investors on the administrative state. He voiced his concerns at the growth […]
Read MoreVigilant Shortlisted as Finalist for The Drawdown Awards
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance for 2024 by The Drawdown. The Drawdown Awards […]
Read MoreClimate-Related Disclosures | SEC Adopts Rules
SEC Releases Introduction The SEC announced on March 6th, 2024, that final rules have been adopted that require Firms to provide disclosures for information related to climate […]
Read MoreSEC Charges Firm $950k for Disclosure Failures
SEC Releases Introduction The SEC charged an Investment Adviser with disclosure failures related to required 13G and 13D Filings. Failures to submit timely required filings are taken seriously by […]
Read MoreVigilant Compliance Newsletter | February 2024
Monthly Newsletter In February, we saw Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a brief overview of what took place […]
Read More$1.5 Million Charge for ETF Launch Disclosure Failure
SEC Releases Introduction An RIA was recently charged $1.5 Million by the SEC for failing to provide proper disclosures about the launch of one of its new ETFs. The […]
Read More$2.2 Million Reg BI Violation | SEC Releases
SEC Releases Introduction A Broker Dealer was charged $2.2 Million on February 16th for failures to comply with Regulation Best Interest (“Reg BI”). Reg BI continues to be an enhanced focus for the […]
Read MoreSEC Chair, Gary Gensler, Discusses AI
SEC Releases Introduction SEC Chair, Gary Gensler, recently spoke at a Yale Law School event about Artificial Intelligence (“AI”) and the important role that regulators play. He discussed […]
Read MoreVigilant Named as 2024 Best Compliance Advisory Firm
Vigilant Announcements Vigilant is thrilled to announce that we have been named as the 2024 Best Compliance Advisory Firm by With Intelligence for their Fund Intelligence Operations […]
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