Blog
Vigilant Shortlisted as Best Advisory/Consultancy Firm for 2023
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory/Consultancy Firm (Private Fund Industry) in Regulatory Compliance for 2023 by The Drawdown. The Drawdown Awards […]
Read More15 Compliance Considerations Amid Banking Crisis
Vigilant Insights Brief Introduction Like many, Vigilant is closely monitoring the impact that the present banking crisis has on certain RIAs. We recognize that the current environment […]
Read MoreJPMorgan Bans Employees from Use of Certain AI Technology
News and Alerts Brief Introduction As compliance headaches continue to arise over the use of third-party communications software, JPMorgan joined other companies in banning the use of third-party AI […]
Read MoreSEC Continues to Investigate Recordkeeping Practices
News & Alerts Brief Introduction It was announced that multiple Firms (Blackrock, Blackstone, Stifel, Citadel, Point72, Wells Fargo, SG Americas Securities) over the past weeks are […]
Read MoreRepeat Violations by Advisors’ Parents | Fred Teufel Reacts
Vigilant Insights Vigilant’s Director and Industry Veteran, Fred Teufel, was quoted in BoardIQ on repeat violations by Advisors’ Parents, which is causing concern at the Fund Director […]
Read MoreVigilant Monthly Newsletter | February 2023
Monthly Newsletter In February, we saw SEC Releases and Charges, as well as important insights from Vigilant. Below is a brief overview of what took place […]
Read MorePrivate Equity Consultant Charged with Insider Trading
SEC Releases Brief Introduction The SEC charged a former consultant for a Private Equity Firm, and his close friend, with insider trading on February 22nd, 2023. These charges resulted […]
Read MoreIn Need of a Cost-Effective Compliance Solution?
Vigilant Insights Who Is This Applicable To? Registered Investment Advisers (“RIAs”) Mutual Funds Exchange Traded Funds (“ETFs”) Broker Dealers Firms meeting the requirements for SEC […]
Read MoreSEC Charges Investment Advisory Firm For Trading Violations
SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve around SEC Rule 105, which is designed […]
Read MoreSEC Finalizes Rule Changes for Settlement Cycles
SEC Releases Brief Synopsis On February 15th, the SEC formally adopted rule changes to reduce the settlement cycle for most Broker Dealer transactions. Their goal is to reduce risk, […]
Read MoreNew SEC Proposed Rule | RIA Protection of Customer Assets
SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February 15th to amend and redesignate rule 206(4)-2 of […]
Read MoreSEC May Change Climate Risk Disclosure Requirements | Industry Pushback
News & Alerts Brief Introduction In 2022, the SEC proposed new disclosure requirements related to climate change risk for firms. They argue that firms should be required to […]
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