Blog
AI and SEC Exams – Fred Teufel and CJ Schaible Insights
Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected to discuss their policies and […]
Read MoreFINRA Projected Performance Proposal | Thayne Gould Insights
Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain securities to institutional investors or […]
Read MoreSEC Exams Heightened Focus on Tech | Fred Teufel Insights
Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and Boards, with particular mention of […]
Read MoreSEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights
Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in history, with the highest being […]
Read MoreHow to Start an ETF | In-Person Event
Vigilant Events Register Here for the In-Person Event In-Person Event Details Date and Time: Tuesday, November 28th, from 11:00 AM – 6:30 PM ET Topics […]
Read MoreBest Practices for Keeping your RIA Compliant
Vigilant Insights Introduction There is a significant amount of regulatory requirements as a Registered Investment Adviser (“RIA”). Requirements which include a breadth of topics, some of which […]
Read MoreComplying with the Marketing Rule 1 Year Later | Thayne Gould Insights
Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there have been multiple enforcements by the SEC which […]
Read MoreSEC Enforcement Results for FY 2023 | Key Stats and Trends
SEC Releases Introduction On November 14th, the SEC released their enforcement results for the Fiscal Year 2023. The amount of enforcements has increased from 2022. SEC Chair, Gary Gensler, discussed […]
Read MoreHow do Trustees get the most out of their Interaction with the CCO? | Webinar
Vigilant Events Register Here for the Webinar Webinar Details Date and Time: Thursday, November 30th, from 2:00 PM – 3:00 PM ET Topic: How do […]
Read MoreFailure to Provide Proper Disclosures Leads to $2.5 Million Penalty
SEC Releases Brief Introduction Recently, the SEC charged a well-known Investment Adviser for failures involving the description of investments within a Publicly Traded Fund it advised. The Firm […]
Read MoreVigilant Compliance Newsletter | October 2023
Monthly Newsletter In October, we saw Vigilant Insights and Announcements, SEC Insights and Releases and SEC Charges. Below is a brief overview of what took place in […]
Read More8 Important Considerations for Dual-Hatted CCOs
Vigilant Insights Brief Introduction It is common practice that some small and medium-sized Firms will have a CCO that also has additional job titles/responsibilities (e.g., President, […]
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