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Firms 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 […]
Read MoreVigilant 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 […]
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