Blog
Vigilant 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 […]
Read MoreSEC 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 More