Blog
Vigilant 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 […]
Read MoreBrokerage Firm Charged by SEC for Violating Reg BI Standards
Brief Introduction On June 16th, the SEC announced that they had charged a registered broker-dealer and five of its registered representatives for violating Reg BI in their recommendation […]
Read MoreIndustry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures
Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful information for making their investment […]
Read MoreSEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers
Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information Providers Acting as Investment Advisers. […]
Read MoreVigilant Monthly Newsletter | June 2022
In June, we saw important SEC Releases, SEC Charges, important insights from Vigilant, and an adopted new Rule. Below is a brief overview of what […]
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