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SEC 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 […]
Read More7 Tips To Build A Successful Compliance Program
Vigilant Insights Brief Introduction Regulatory errors can be costly, not only from a fine and disgorgement perspective, but from a business and reputational perspective. It has become […]
Read More7 Steps to Maintain Compliance with the Marketing Rule
Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be taking immediate action to ensure that […]
Read MoreNew SEC Rule Amends Modern Preservation of Electronic Records
SEC Releases Brief Introduction On October 12th, the SEC voted to amend the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements for security-based swap dealers, […]
Read MoreMalfunction On Commenting For 11 Rulemaking Releases
SEC Releases Brief Introduction The SEC routinely opens a comment period for rulemaking releases to allow any interested and affected persons the chance to give their input. […]
Read MoreBreaches of Fiduciary Duty and Compliance Failures | SEC Charge
SEC Releases Brief Introduction Last month, an Investment Adviser was charged by the SEC with a $200,000 civil penalty and required to pay clients $575,589 in restitution for “breaches of fiduciary […]
Read MoreVigilant Monthly Newsletter | September 2022
Vigilant Monthly Newsletter In this edition of Vigilant’s Monthly Newsletter for September, we saw our highest amount of content for the year which included important SEC releases […]
Read MoreSEC’s Examination Approach on Rule 18f-4 | Chuck Martin Reacts
Chuck Martin Observations | Vigilant Insights Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts on BoardIQ that focuses on the SEC’s examination of Fund […]
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