Blog
AI Use for Private Equity Firms remains Questionable
News and Alerts Brief Introduction Compliance officers of Private Equity Funds have generally taken a cautious approach to allowing employees to use artificial intelligence (“AI”). […]
Read MoreMarketing Rule Risk Alert | Donna DiMaria Reacts (ETF Express)
Vigilant Insights Vigilant’s own, Donna DiMaria, was spotlighted by ETF Express providing insights on the recent SEC Risk Alert on the Marketing Rule. As someone who has been heavily involved in the […]
Read MorePrivate Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging
SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts of interest. The Firm agreed […]
Read MoreSEC Places 37 New Rules in Final Stage as part of its Spring Agenda
SEC Releases Brief Introduction The SEC has announced its Spring 2023 Regulatory Agenda. SEC Chairman, Gary Gensler, explains the regulatory goals as focusing on a three-part mission to protect […]
Read MoreNew SEC Risk Alert on the Marketing Rule
SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when interacting with the new Marketing […]
Read MoreVigilant Selected as Best Outsourced Solution and Best Regulatory Advisory & Compliance Firm
Vigilant Announcements Vigilant is thrilled to announce that we have been selected as the Best Outsourced Solution and Best Regulatory Advisory & Compliance Firm by Hedgeweek in conjunction with Bloomberg for […]
Read More5 Rising Topics in the Compliance Industry | 2023
Vigilant Insights Brief Introduction In an increasingly dynamic regulatory environment, finding financial success for your Firm without also finding compliance success appears to be highly […]
Read MoreReg BI May Be A Major Source Of Future Enforcement Action
Vigilant Insights Brief Introduction Under Regulation BI (“Reg BI”), Firms are expected to act in the best interests of their customers. This requires full and fair disclosing, reasonable […]
Read MoreVigilant Monthly Newsletter | May 2023
Monthly Newsletter In May, we saw SEC/FINRA Releases and News and Alerts throughout the Industry. Below is a brief overview of what took place in […]
Read MorePrivate Fund Compliance Failures Bring SEC Charges for RIA
SEC Releases Brief Introduction A New York RIA was charged $275,000 by the SEC on May 24th for Compliance failures related to their valuation of Private Funds. In addition to the penalties, […]
Read MoreESG Issues Remain Major Focus for SEC Investigations
News and Alerts Brief Introduction The SEC has yet to finalize their proposals related to ESG disclosure. However, Firms that advertise ESG in their materials should be prepared to […]
Read MoreCybersecurity Investor Protection | SEC Commissioner Update
SEC Releases Brief Introduction SEC Commissioner, Jaime Lizarrage, spoke at the Digital Directs Network on May 16th. He discussed how the SEC is pushing for all market actors […]
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