Blog
Vigilant 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 […]
Read MoreNew 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. […]
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