Blog
Repeat 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 […]
Read MoreFirm Fines Employees for Unauthorized Whatsapp Use
News & Alerts Brief Introduction A well known large firm recently issued fines of up to $1 Million to some of its employees for using unapproved mobile messaging […]
Read MoreSEC Division of Examinations Releases 2023 Priorities | 7 Takeaways
SEC Releases Brief Introduction On February 7th, the SEC Division of Examinations announced its priorities for 2023. This contains a significant number of priorities; this is unsurprising considering the plethora […]
Read MoreVigilant Monthly Newsletter | January 2023
Monthly Newsletter In January, we saw SEC Releases and Charges, as well as many important insights from Vigilant. Below is a brief overview of what took […]
Read MoreSEC Issues Risk Alert Related to Regulation Best Interest
SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]
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