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Top SEC Releases and Vigilant Insights from 2023
Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024, it is important to look […]
Read MoreHow to Prepare for an SEC Examination | Vigilant Insights
Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of being prepared. SEC Examinations can be […]
Read MorePrivate Equity Adviser Charged $4 Million for Compliance Failures
SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related to failing to supervise. These failures […]
Read MoreAI Risks for Institutional Investors | Fred Teufel Insights
Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in a […]
Read MoreVigilant Compliance Newsletter | December 2023
Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what took place in the month […]
Read MoreRule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ
Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5 Valuation Rule on a Video […]
Read MoreSEC Continues Sweep for AI | Chuck Martin Insights on FundFire
Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to a recent Wall Street Journal article, Vigilant’s […]
Read MoreVigilant Shortlisted as Best Compliance Advisory Firm for 2024
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 2024. The Fund […]
Read MorePrivate Funds Forced to Adapt to Ongoing SEC Regulations
News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the regulatory requirements for Private Funds […]
Read MoreVigilant Awarded as Best Regulatory & Compliance Adviser
Vigilant Announcements Vigilant is thrilled to announce that we have been awarded as the 2023 Best Regulatory & Compliance Adviser by Institutional Asset Manager. The Institutional […]
Read MoreSEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ
Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With the SEC’s Proposed Rule related to AI use […]
Read MoreIncreased Compliance Investments Indicated by Survey
News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our aggressive regulatory climate. We discussed […]
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