Blog
SEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures
SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions for failures in their cybersecurity […]
Read MoreSEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO
SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and its Associated Individuals for providing […]
Read MoreSEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors
SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]
Read MoreVigilant Celebrates 17 Years of Compliance Excellence
Vigilant Announcements Vigilant celebrates 17 successful years in business as of August 15th, 2021. Vigilant was founded by Salvatore Faia, JD, CPA, CFE […]
Read MoreFINRA Cites MSRB Rule G-13 in Action Against Broker Dealer
Whitepapers | FINRA One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA Acceptance, Waiver, and Consent (AWC) […]
Read MoreReceiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.
SEC Charges Electronic Trading Platform | SEC Release On June 29th, 2021, the SEC announced that Neovest, Inc. failed to register as a broker-dealer in […]
Read MoreSEC Commissioner Provides Updates Towards Climate, ESG, and More
SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there were large discussions on Climate […]
Read MoreESG Rules Update from Commissioner Elad L. Roisman
Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC will make them sustainable. The […]
Read More8 Benefits to Engaging a Compliance Consultant
Vigilant Insights | How Engaging with a Compliance Consultant can Help YOU! Should I engage a Compliance Consultant? What are the benefits of a […]
Read MoreSEC Announces Annual Regulatory Agenda for Spring 2021
Vigilant Insights On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The SEC highlighted that […]
Read MoreVigilant Newsletter: May 2021
For this month’s version of Vigilant’s Newsletter for May there was a high focus on Vigilant and Paul Hastings webinar, An Asset Manager’s Guide […]
Read MoreFINRA’s 2021 Annual Conference Remarks
9 Key Takeaways from FINRA’s 2021 Annual Conference On May 20th, 2021 the SEC released remarks at the 2021 FINRA Annual Conference. This Conference […]
Read More