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New Rule Adopted by SEC, Along with Two Proposals
SEC RELEASES Brief Introduction On July 26th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident Disclosure. They also announced two […]
Read MorePrivate Equity Wire US Awards 2023 | Vigilant Shortlisted
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for our third award in the past two weeks as the Best Regulatory Advisory & Compliance […]
Read MoreSEC Will Increase Examiners With Budget Increase
NEWS AND ALERTS Brief Introduction SEC Chairman, Gary Gensler, spoke with senators last week about his plans for the $194 million dollar increase in funds […]
Read MoreVigilant Shortlisted for 2 Awards | Hedgeweek US Awards 2023
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the (1) Best Regulatory Advisory & Compliance Firm and (2) Best Outsourced Solution for the Hedgeweek US Awards 2023. […]
Read MoreMaintaining Messaging Compliance (Electronic Communications)
VIGILANT INSIGHTS Brief Introduction Failures in messaging compliance can be costly. In the fall of 2022, Firms were fined over $1.1 Billion for recordkeeping failures […]
Read MoreHigh Demand for Mock Exams
NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule releases, billions in financial punishments, […]
Read MoreKey Takeaways from House Committee Letter to SEC Chairman
NEWS AND ALERTS Brief Introduction On June 28th, the House Financial Services Committee sent a letter to SEC Chairman, Gary Gensler, related to document requests […]
Read MoreRIAs Understand the Importance of Compliance to Their Success
NEWS AND ALERTS Brief Introduction In a recent article by InvestmentNews, RIAs throughout the industry report on the importance of compliance to their success. At […]
Read MoreVigilant Shortlisted as Best Advisory Firm – Regulation and Compliance for 2023
Vigilant Announcements Building off of our recent Awards Win in the Hedge Fund Industry, Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory […]
Read MoreVigilant Monthly Newsletter | June 2023
Monthly Newsletter In June, we saw SEC Releases and Charges, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is a brief overview […]
Read MorePreparing for ESG Regulation
Vigilant Insights Brief Introduction As the SEC continues to focus on enforcement related to ESG, Firms should take the necessary steps to prepare for the […]
Read MoreIAA Argues Against SEC Proposals
NEWS AND ALERTS Brief Introduction The Investment Adviser Association (“IAA”) has publicized their disagreement with four SEC proposals regarding investment advisers. The proposals are related to protecting customer information, […]
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