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RIA 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 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 […]
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