Blog
SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund
Brief Introduction Today, June 14th, the SEC announced that they charged a Private Equity Adviser with allocating undisclosed, disproportionate expenses to a private equity fund it advises. […]
Read MoreVigilant Monthly Newsletter | May 2022
For May’s version of Vigilant’s Monthly Newsletter, we saw an important SEC Proposed Rule, SEC Releases, and important insights from Vigilant. Below is a brief […]
Read More5 Current Trends in Compliance
Brief Introduction to the Trends in Compliance As we get closer to Q3, we have seen a lot of forecasted trends for 2022 already taking […]
Read MoreSEC’s First-Ever Enforcement Proceeding Under Section 11 Of The Investment Company Act Of 1940
Brief Introduction Last week, the SEC’s first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching or replacement of variable annuities. […]
Read MoreSEC Proposes New Rule Towards ESG Investment Practices
Brief Introduction On Wednesday, May 25th, the SEC released Proposed ESG Related Amendments for Funds and Advisers. Who Does This Apply To? This Proposed Rule is applicable to […]
Read MoreEXAMS Issues Reminder For The Marketing Rule Compliance Date
Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them about the compliance date for […]
Read MoreSEC Fines RIA $760k+ Over Wrap Fees
Brief Introduction | SEC Fines RIA $760k+ Over Wrap Fees Recently, the SEC fined an RIA Firm over $760,000+ over Wrap Fees. The RIA and its advisors […]
Read MoreVigilant Monthly Newsletter | April 2022
For April’s version of Vigilant’s Monthly Newsletter, we saw important SEC Proposed Rules, Risk Alerts, and important insights from Vigilant. Below is a brief overview […]
Read MoreRISK ALERT | Investment Adviser MNPI Compliance Issues
Brief Introduction On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and the Code of Ethics Rule […]
Read MoreVigilant’s COO, Chuck Martin, Quoted In BoardIQ On 2022 Exam Priorities
Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in BoardIQ where he discussed his initial thoughts and analysis towards the 2022 Exam Priorities. […]
Read MoreSEC Proposes Rules Towards SPACs, Shell Companies, and Projections
Brief Introduction The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special purpose acquisition companies (SPACs), as […]
Read MoreVigilant Monthly Newsletter | March 2022
In March, we saw important SEC/FINRA Releases and important insights from Vigilant. Below is a brief overview of what took place in the month of […]
Read More