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Private Equity Infrastructure RIA Charged for Breach of Duty
SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty to Funds being managed. The RIA […]
Read MoreImpact on Fund Names | SEC Adopts Rule Amendments
SEC Releases Brief Introduction On September 20th, the SEC adopted Rule enhancements to prevent misleading or deceptive Investment Fund Names. The main focus by the SEC of this new […]
Read MorePrivate Equity Firms Should Consider Outsourced Compliance
Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their risk of expensive regulatory fines […]
Read MoreRIA Charged by the SEC for Repeat Compliance Failures
SEC Releases Brief Introduction A New York-based RIA was charged by the SEC for failing to adopt and implement written compliance policies and procedures, conduct an annual review […]
Read MoreNew Private Fund Rule Compliance Date
News and Alerts Effective Date Now Set for the Private Fund Rule The SEC recently adopted the new Private Fund Rule for Private Funds and Private Fund Advisers. […]
Read MoreMisleading Disclosures Related to Information Barriers
SEC Releases Brief Introduction The SEC has filed charges in U.S. District Court against a Firm and their Parent Company for allegedly making materially false and misleading statements and […]
Read MoreFeeling “Overwhelmed” by Marketing Review | Vigilant Solutions
Vigilant Insights Brief Introduction The SEC has recently released a Risk Alert describing the large amount of documents typically requested during SEC Examinations. With the SEC’s first enforcement action related […]
Read More9 Marketing Rule Violations | SEC Charges
SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule. All involved Firms had violations involving […]
Read MoreRisk Alert for Investment Advisers | SEC Releases
SEC Releases Brief Introduction The SEC Division of Examinations (“Division” or “EXAMS”) recently published a Risk Alert to give additional information about the Risk-Based Approach the Division takes for selecting Registered […]
Read More5 Advisory Firms Charged for Custody Rule Violations
SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with the Custody Rule and the […]
Read MoreVigilant Monthly Newsletter | August 2023
Vigilant Monthly Newsletter | August 2023 In August, we saw many Insights directly from the Vigilant Team, SEC New Rules and Releases, SEC Charges, Vigilant Insights and Announcements, […]
Read MoreRegulatory Impact on Smaller Firms | Bernadette Murphy Insights
Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment Advisers (“RIAs”). As the SEC […]
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