Blog
SEC’s Drafted Strategic Plan for Fiscal Years 2022 to 2026
Brief Introduction to the Strategic Plan On August 24th, the SEC released a draft of their strategic plan for fiscal years 2022 to 2026 with a focus on […]
Read MoreRisk Alert Observations from Municipal Advisor Examinations
Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior Risk Alert in 2017 related […]
Read MoreVigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Provide Insights Toward the Newly Effective Derivatives Rule
Brief Introduction Chuck Martin and Ryan Hurley were both quoted on Regulatory Compliance Watch providing their thoughts and insights towards the SEC’s Derivatives Rule that is now effective as […]
Read MoreSEC Emphasizes Importance of Reg BI Adherence
Brief Introduction On Tuesday, August 2, 2022, the SEC staff released a bulletin emphasizing the importance of adhering to the Investment Advisers Act and Reg BI, stating that […]
Read MoreVigilant Celebrates 18 Years of Compliance Excellence
Vigilant Thanks You For Your Support Over The Past 18 Years! Vigilant celebrates 18 successful years in business Today, August 15th, 2022. Vigilant was founded by Salvatore Faia, JD, CPA, […]
Read MoreSEC Proposed Form PF Amendments to Enhance Private Fund Reporting
Brief Introduction On August 10th, the SEC proposed amendments to Form PF which would enhance private fund reporting. Specifically, these amendments would strengthen the SEC’s investor protection capabilities and their oversight of […]
Read MoreVigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference
At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti, presented on the SEC Marketing […]
Read MoreVigilant Monthly Newsletter – July 2022
In July, we saw important SEC Releases, SEC Charges, and important insights from Vigilant. Below is a brief overview of what took place in the […]
Read MoreSEC Charges Firms for Deficiencies in Customer Identity Theft Prevention
Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent customer identity theft. As a […]
Read More4 Key Takeaways from the 2022 PLI Investment Management Program
Brief Introduction On July 26th, 2022, Practising Law Institute (“PLI”) hosted their annual program for 2022 on Current Issues & Trends in Investment Management. The Director […]
Read More$200 Million Fine for Misuse of Personal Devices
Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because of its unapproved usage of […]
Read More5 Common ESG Deficiencies Found From SEC Examinations
5 Common ESG Deficiencies Found From SEC Examinations Vigilant has seen 5 common ESG Deficiencies found during SEC examinations below: Failure to address the review […]
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