Blog
Compliance Implications from Supreme Court Rulings
VIGILANT INSIGHTS Introduction Last month, the Supreme Court overturned the Chevron Doctrine which will likely have a lasting impact on regulatory agencies. As the SEC’s […]
Read MoreVigilant Shortlisted for Private Credit Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the Compliance Service of the Year Award by Private Equity Wire for their 2024 US […]
Read MoreSEC Spring 2024 Regulatory Agenda Released
SEC RELEASES Proposed Rules Up for Final Approval! On July 8th, the SEC released their Spring 2024 Regulatory Agenda. In this Agenda includes a total […]
Read MoreVigilant Compliance Newsletter | June 2024
Monthly Newsletter In June, we saw Vigilant Insights, SEC Charges and SEC Releases. Below is a brief overview of what took place in the month of […]
Read MoreOutsourced Compliance Considerations | Chuck Martin Insights
Vigilant Insights Introduction As Firms continue to commit more time and resources to compliance, many choose to partner with compliance consultants to either fill their […]
Read MoreVigilant Shortlisted for Hedge Fund Compliance Award
Vigilant Announcements Building off of our With Intelligence Operations & Services Award Win earlier this year, Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory Firm […]
Read MoreCompliance Risks from Political Contributions | Donna DiMaria Insights
VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year. This topic can be complex […]
Read MoreFirms Struggling with the Marketing Rule | Will Clark Insights
VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private Funds and Separately Managed Account […]
Read MoreCybersecurity Violations Result in $2.1 Million Penalty
SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control and procedure failures, along with […]
Read MoreSEC Chair and Commissioners Discuss AI | SEC Releases
SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient ways to provide services to […]
Read MoreRisk Alert on Broker Dealer Examinations
SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers. The Risk Alert discusses how […]
Read MorePrivate Fund Rule Overturned by Appeals Court
NEWS AND ALERTS Court Opinion in the 5th Circuit Introduction The Private Fund Rules adopted in August of 2023, with compliance dates for some Firms […]
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