Blog
Maintaining Messaging Compliance (Electronic Communications)
VIGILANT INSIGHTS Brief Introduction Failures in messaging compliance can be costly. In the fall of 2022, Firms were fined over $1.1 Billion for recordkeeping failures […]
Read MoreHigh Demand for Mock Exams
NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule releases, billions in financial punishments, […]
Read MoreKey Takeaways from House Committee Letter to SEC Chairman
NEWS AND ALERTS Brief Introduction On June 28th, the House Financial Services Committee sent a letter to SEC Chairman, Gary Gensler, related to document requests […]
Read MoreRIAs Understand the Importance of Compliance to Their Success
NEWS AND ALERTS Brief Introduction In a recent article by InvestmentNews, RIAs throughout the industry report on the importance of compliance to their success. At […]
Read MoreVigilant Shortlisted as Best Advisory Firm – Regulation and Compliance for 2023
Vigilant Announcements Building off of our recent Awards Win in the Hedge Fund Industry, Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory […]
Read MoreVigilant Monthly Newsletter | June 2023
Monthly Newsletter In June, we saw SEC Releases and Charges, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is a brief overview […]
Read MorePreparing for ESG Regulation
Vigilant Insights Brief Introduction As the SEC continues to focus on enforcement related to ESG, Firms should take the necessary steps to prepare for the […]
Read MoreIAA Argues Against SEC Proposals
NEWS AND ALERTS Brief Introduction The Investment Adviser Association (“IAA”) has publicized their disagreement with four SEC proposals regarding investment advisers. The proposals are related to protecting customer information, […]
Read MoreAI 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 […]
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