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Gensler Defends SEC Private Fund Proposals at MFA Forum
News and Alerts Brief Introduction SEC Chairman, Gary Gensler, spoke in front of the Managed Funds Association (“MFA”) about the reasoning behind the multiple SEC proposals affecting […]
Read MoreSEC Adopts Amendments to Form PF
SEC Releases Brief Introduction As “hinted” by SEC Chairman, Gary Gensler, at the MFA Conference recently, the SEC announced on May 3rd that the Proposed Amendments to Form […]
Read MoreSEC Chairman’s Agenda Has No Intention Of Stopping
News and Alerts Brief Introduction SEC Chairman, Gary Gensler, discussed multiple topics in a recent interview with InvestmentNews. He addressed the growing number of critics from leaders in both […]
Read MoreVigilant Monthly Newsletter | April 2023
Monthly Newsletter In April, we saw SEC Releases and important insights from Vigilant. Below is a brief overview of what took place in the month of […]
Read MoreReg BI | SEC Releases Bulletin for RIAs and BDs
SEC Releases Brief Introduction Last week, the SEC released a bulletin explaining the standards of conduct for Registered Investment Advisers (“RIAs”) and Broker Dealers (“BDs”) under Reg BI […]
Read MoreSEC Chairman’s Congressional Testimony | Key Takeaways
SEC Releases Brief Introduction On April 18th, SEC Chairman, Gary Gensler, gave testimony to the House of Representatives Committee on Financial Services. His testimony covered many topics […]
Read MoreSEC Charges Investment Adviser for Tax Service Misstatements
SEC Releases Brief Introduction On April 18th, an Investment Advisory Firm was charged by the SEC for misstatements and omissions relating to its automated tax loss harvesting service […]
Read MoreForm PF Filings are Due at the End of the Month (April 30th, 2023)
Vigilant Insights Brief Introduction SEC Registered Investment Advisers (“RIAs”) that manage Private Funds must file their Form PF by April 30th, 2023, if they meet certain […]
Read MoreVigilant 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 […]
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