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Mistakes To Avoid When Choosing A Compliance Partner
Vigilant Insights Brief Introduction We’ve previously discussed how a Firm can address its need for a cost-effective compliance solution. There can be many risks and inefficiencies resulting […]
Read MoreWhy Due Diligence Is Crucial | Vigilant Insights
Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major focus for the SEC. The […]
Read MoreSEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd
News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August 23rd at 10:00am. It is highly […]
Read MoreConflicts of Interest and Predictive Data Analytics | Fred Teufel Reacts
Vigilant Insights Brief Introduction The SEC recently proposed a new rule related to conflicts of interest and predictive data analytics. The rule was met with resistance from SEC Commissioner […]
Read MoreVigilant Celebrates 19 Years Of Compliance Excellence
Vigilant Thanks You For Your Support Over The Past 19 Years! Vigilant celebrates 19 successful years in business today, August 15th, 2023. Vigilant was founded by Salvatore Faia, JD, CPA, […]
Read MoreNew Cybersecurity Rule Compliance Dates
News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement dates would rely on the […]
Read MoreRecent SEC Recordkeeping Charges | Vigilant Reacts
Vigilant Insights Brief Introduction As recently reported, the SEC has announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties of […]
Read MoreConcerns and Suggestions for AI Use | Vigilant Insights
Vigilant Insights Brief Introduction Artificial Intelligence (“AI”) has become a major topic of discussion within the compliance industry. As with most technology, it is inevitable that compliance departments […]
Read More11 Firms Charged by the SEC for Recordkeeping Failures
SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties […]
Read More18 Compliance Trends Discovered by Vigilant in 2023
Vigilant Insights Brief Introduction As we proceed into the “half way” point entering Q3 2023, it is important to examine and monitor the industry compliance trends so […]
Read MoreOff-Channel Communication Still a Major Regulatory Focus
NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related to employee off-channel communications. It […]
Read MoreVigilant Monthly Newsletter | July 2023
Monthly Newsletter In July, we saw SEC Releases, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is a brief overview of what […]
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