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Marketing Rule Sweeps | Bernadette Murphy Insights
Vigilant Insights Brief Introduction As the SEC continues to announce violations related to the Marketing Rule, Firms are understandably worried about their performance if they are included in an […]
Read MoreInterval Fund Faces Valuation Issues | Fred Teufel Reacts
Vigilant Insights Brief Introduction Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in an Ignites article recently discussing a request made to the SEC by a $44 […]
Read MoreVigilant Shortlisted as Best Regulatory & Compliance Adviser
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory & Compliance Adviser for the Institutional Asset Manager Awards 2023. Place Your Votes […]
Read MoreImportance of Maintaining Records of Communications | Will Clark Insights
Vigilant Insights Off-channel communication violations continue to be a costly compliance mistake in the securities industry. Almost $549 million in fines have been handed out in the past month. In […]
Read MoreVigilant Compliance Newsletter | September 2023
Monthly Newsletter In September, we saw SEC Charges, new Adopted Rules, and Insights from Vigilant. Below is a brief overview of what took place in the month of […]
Read More10 Firms Charged $79 Million for Recordkeeping Failures
SEC Releases Brief Introduction The SEC announced multiple charges on Friday, September 29th, for violations of recordkeeping requirements. The following type of Firms below were charged: 5 Broker […]
Read MoreMaterial Misstatements Lead to SEC Charge | Marketing Rule
SEC Releases Brief Introduction The SEC remains active towards the Marketing Rule and has charged another Registered Investment Adviser (“RIA”) with violations towards it. As we reach […]
Read MorePrivate Equity Infrastructure RIA Charged for Breach of Duty
SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty to Funds being managed. The RIA […]
Read MoreImpact on Fund Names | SEC Adopts Rule Amendments
SEC Releases Brief Introduction On September 20th, the SEC adopted Rule enhancements to prevent misleading or deceptive Investment Fund Names. The main focus by the SEC of this new […]
Read MorePrivate Equity Firms Should Consider Outsourced Compliance
Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their risk of expensive regulatory fines […]
Read MoreRIA Charged by the SEC for Repeat Compliance Failures
SEC Releases Brief Introduction A New York-based RIA was charged by the SEC for failing to adopt and implement written compliance policies and procedures, conduct an annual review […]
Read MoreNew Private Fund Rule Compliance Date
News and Alerts Effective Date Now Set for the Private Fund Rule The SEC recently adopted the new Private Fund Rule for Private Funds and Private Fund Advisers. […]
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