Blog
Vigilant 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 […]
Read MoreAI 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 […]
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