Blog
SEC Adopts Rules Relating to SPACs, Shell Companies, and Projections
SEC Releases Introduction On January 24th, the SEC adopted final rules and amendments to enhance disclosures and provide additional investor protections in initial public offerings (IPOs) by special purpose […]
Read MoreA Partnership Driven Compliance Provider | Vigilant
Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why we believe we won the […]
Read MorePotential 2024 SEC Rule Adoptions
Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is important for the industry to […]
Read More7 Effective Compliance Strategies for 2024
Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong focus on your Compliance budgets to […]
Read MoreElectronic Communication Recordkeeping and SEC Enforcements
Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have indicated that the fines will […]
Read MoreTop 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 More