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SEC Charges $4 Million Over Investments Misrepresented as ESG
SEC Releases Brief Introduction On November 22nd 2022, the SEC charged a major investment firm $4 Million dollars in relation to their management of Funds identified as Environmental, Social, […]
Read MoreMoving to a Proactive Compliance Approach | Vigilant Insights
Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President & CEO, Salvatore Faia, JD, […]
Read More$6.4 Billion in Penalties | SEC Enforcement Results for 2022
SEC Releases Brief Introduction The SEC announced on November 15th a large summary of their enforcement actions for the fiscal year of 2022. The SEC increased its enforcement […]
Read MoreSEC Compliance Program Outreach National Seminar | Key Takeaways
SEC Releases Brief Introduction Today, November 15th, the SEC just completed their Compliance Program Outreach National Seminar, which covered multiple important areas. SEC Chair, Gary […]
Read MoreSEC Adopts Key Reforms for Mutual Fund and ETF Disclosures
SEC Releases Brief Introduction On October 26th, the SEC adopted important disclosure reforms for the Mutual Fund and ETF industry. The expectation going forward will be […]
Read MoreVigilant Monthly Newsletter | October 2022
Vigilant Monthly Newsletter In October, we saw important SEC releases, a proposed rule, an adopted rule, and charges, as well as important insights and announcements from […]
Read MoreNew SEC Proposal | Focus on Open-End Fund Liquidity
SEC Releases Brief Introduction On November 2nd, the SEC voted to propose amendments with the goal of preparing Open-Ended Funds for future stressed conditions. The management of […]
Read MoreSEC Adopts Rules to Enhance Proxy Voting Disclosure
SEC Releases Brief Introduction The SEC announced Today, November 2nd, that they have adopted Amendments to Form N-PX. This will enhance the proxy vote reporting for Mutual Funds, ETFs, and […]
Read MoreHow Outsourced Compliance Could Benefit Your Firm
Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their compliance is an efficient, safe, […]
Read MoreSEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts
Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act of 1940 (“Advisers Act”) which […]
Read MoreVigilant Selected as Best Regulatory Advisory & Compliance Firm
Vigilant Announcements Vigilant is thrilled to announce that we have been selected as the Best Regulatory Advisory & Compliance Firm by Hedgeweek in conjunction with Bloomberg. We […]
Read MoreSEC Proposes Rule for Outsourcing by Investment Advisers
SEC Releases Overview: Proposed Rule 206(4)-11 – Service Provider Oversight On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers […]
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