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5 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 […]
Read MoreVigilant Shortlisted as Best ETF Regulatory/Compliance Adviser
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for the ETF Express US ETF Awards 2023. Place Your Votes […]
Read MoreSEC Reopens Comment Period for RIA Safeguarding Rule
SEC Releases Brief Introduction Due to the new rules and amendments adopted on August 23rd, the SEC has reopened a 60-day comment period for the public to comment […]
Read MoreSEC Adopts Private Fund Rules
SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private Fund Advisers. There are some significant […]
Read MoreAI and Messaging Compliance | Michael Hogan Insights
Vigilant Insights Brief Introduction With the recent SEC charges of $289 million related to electronic recordkeeping failures, which increases the total fines ordered to over $1.5 billion for […]
Read MoreFirst SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts
Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule. A New York based FinTech Investment […]
Read MoreMistakes 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 […]
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