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SEC 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, […]
Read MoreImportance of Proactive Compliance | SEC’s Gurbir Grewal Reacts
SEC Releases Brief Introduction On October 24th, SEC Director of the Division of Enforcement, Gurbir Grewal, spoke to the New York City Bar Association at their Compliance Institute. […]
Read MoreSEC Chair, Gary Gensler, Fiscal Year 2023 Takeaways
SEC Releases Brief Introduction On October 25th, SEC Chair, Gary Gensler, spoke at the 2023 Securities Enforcement Forum. Labeling the SEC as “partners of honest business and prosecutors of […]
Read MoreVigilant Awarded as Best Regulatory Advisory & Compliance Firm
Vigilant Announcements (Vigilant Becomes Back-to-Back Hedgeweek US Award Winner) Vigilant is thrilled to announce that we have been awarded for the second year in a row […]
Read MoreCommissioner Uyeda Key Takeaways from the NSCP Conference
SEC Releases Introduction SEC Commissioner, Mark Uyeda, spoke at the National Society of Compliance Professionals (“NSCP”) Conference recently about various topics. Although his opinions are his own […]
Read More2024 SEC Division of Examinations Priorities | Key Takeaways
SEC Releases Introduction On Monday, October 16th, the SEC Division of Examinations released their examination priorities for 2024. To no surprise, they will continue to investigate […]
Read MorePreparation Required for New Cybersecurity Rules
Vigilant Insights Brief Introduction In a recent Deloitte Survey, 26% of Firms surveyed have not prepared for the new SEC cybersecurity rules. With differing effective dates based on size, Firms will […]
Read MoreDuty of Care and Disclosure Violations | $1.3 Million SEC Charge
SEC Releases Introduction On October 10th, the SEC charged an RIA for breaching its fiduciary duties. The Firm failed to properly disclosure conflicts of interests through its use […]
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