Blog
Vigilant Shortlisted for 3 Awards by Hedgeweek
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following 3 Awards below by Hedgeweek for their US Emerging Manager Awards 2023: Best Outsourced […]
Read MoreFirm Pays $20 Million for Improper Securities Trading
SEC Releases Brief Introduction On April 3rd, a Firm and its Founder agreed to pay $19.3 million in disgorgement, interest, and civil penalties as a result of SEC […]
Read MoreSEC Commissioner Peirce Comments On SEC Agenda
News & Alerts Brief Introduction SEC Commissioner Hester Peirce commented on a host of issues during a CFA Society of Washington’s annual dinner. Peirce had a […]
Read MoreSEC Hires 100+ Staff, Is Your Firm Prepared?
Vigilant Insights Brief Introduction The SEC is looking to hire over 100 additional staff members for its enforcement division, and is proposing a 12% budget increase […]
Read MoreSEC Investigations Related to Messaging Apps | Maxwell Baker Reacts
Vigilant Insights Vigilant’s own, Maxwell Baker, Esq., was quoted in InvestmentNews related to the SEC’s continued investigations into the use of messaging apps by employees of registered firms. […]
Read MoreVigilant Monthly Newsletter | March 2023
Monthly Newsletter In March, we saw SEC Releases and Proposed Rules, as well as important insights from Vigilant. Below is a brief overview of what took […]
Read MoreSEC Releases Risk Alert for Newly Registered Advisers
SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during Examinations and what Compliance Problems […]
Read MoreFirms may Struggle to meet SEC Compliance Deadlines
News and Alerts Brief Introduction As the SEC pushes to finalize over twenty rules and amendments in 2023. Firms with limited resources may struggle to meet the compliance […]
Read MorePrepare for More On-Site SEC Exams in 2023
News and Alerts Brief Introduction The Deputy Director of the SEC Division of Examinations has verbalized the intention to significantly increase the number of On-Site Examinations for the year, […]
Read MoreSEC Increase On Recordkeeping For Exams | Brian Dillon’s Insights
Vigilant Insights Vigilant’s Director, Brian Dillon, was quoted in a Board IQ article regarding recent examination document production requests from the SEC related to the use of text messages and […]
Read MoreSEC Proposes Amendments to Regulation S-P
SEC Releases Brief Introduction On March 15th, the SEC proposed new changes to Regulation S-P . Their goal is to enhance the protection of customer information. Currently, Regulation S-P requires […]
Read MoreSEC Reopens Comment Period for Proposed Cybersecurity Rule
SEC Releases On March 15th, the SEC chose to reopen the comment period on the Proposed Cyber Rule for cybersecurity risk management and disclosure requirements on Registered […]
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