Blog
SEC Attempts to add Climate Risk to the Regulatory Environment
Vigilant Insights Brief Introduction As part of the twenty-six new rules announced in the first eight months of 2022, the SEC proposed three rule amendments that could […]
Read MorePortfolio Manager Fined $250,000 for Undisclosed Conflict of Interest
SEC Releases Brief Introduction On January 5th, the SEC charged a Portfolio Manager $250,000 for failing to disclose a conflict of interest. The individual was charged […]
Read MoreThree Areas The SEC Could Increase Private Equity Scrutiny in 2023
Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023. The SEC has added more proposals […]
Read MoreFINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures
News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping policies and promptly alert FINRA […]
Read MoreVigilant 2023 Compliance Calendar
Vigilant Insights As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2023 Regulatory Filings Calendar, which includes Filing Deadlines for each […]
Read More5 Rules Released by the SEC Makes Waves for the Industry
SEC Releases Brief Introduction On December 14th, the SEC provided one adopted amendment, two proposed amendments, and two proposed rules. The large number of announcements should […]
Read MoreNew SEC Rules to be Aware of for 2023
Vigilant Insights Brief Introduction Four important SEC rules were discussed during the National Compliance Seminar last month. Two have already been adopted, continuing to add complexity to […]
Read MoreRIA Censured for Compliance Failures | SEC Fines
SEC Releases Brief Introduction A Registered Investment Adviser was censured and fined $75,000, and its CEO/CCO was fined $25,000, after multiple compliance violations over an extended period […]
Read MoreFirms Investing More in Compliance to Reduce Regulatory Headaches
Vigilant Insights Brief Introduction In light of recent SEC charges, including the charges against firms for failing to monitor and record electronic communications via texting and other […]
Read MoreSEC Risk Alert for Identity Theft Under Regulation S-ID
SEC Releases Brief Introduction The SEC published a risk alert on December 5th related to Regulation S-ID after recent Compliance Examinations of Investment Advisers and Broker Dealers. Regulation S-ID […]
Read MoreVigilant Shortlisted as Best Compliance Advisory Firm for 2023
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2023. The Fund […]
Read MoreSEC Announces Strategic Plan for 2022-2026
SEC Releases Brief Introduction The SEC published a 16-page document highlighting their strategic plan for 2022 through 2026. In addition to comments from the SEC chair […]
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