Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
FINRA Projected Performance Proposal | Thayne Gould Insights
November 30, 2023Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain[...]
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SEC Exams Heightened Focus on Tech | Fred Teufel Insights
November 29, 2023Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and[...]
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SEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights
November 26, 2023Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in[...]
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How to Start an ETF | In-Person Event
November 26, 2023Vigilant Events Register Here for the In-Person Event In-Person Event Details Date and Time: Tuesday, November 28th, from 11:00 AM[...]
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Best Practices for Keeping your RIA Compliant
November 19, 2023Vigilant Insights Introduction There is a significant amount of regulatory requirements as a Registered Investment Adviser (“RIA”). Requirements which include a breadth[...]
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Complying with the Marketing Rule 1 Year Later | Thayne Gould Insights
November 16, 2023Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there[...]
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SEC Enforcement Results for FY 2023 | Key Stats and Trends
November 15, 2023SEC Releases Introduction On November 14th, the SEC released their enforcement results for the Fiscal Year 2023. The amount of enforcements has increased from 2022.[...]
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How do Trustees get the most out of their Interaction with the CCO? | Webinar
November 14, 2023Vigilant Events Register Here for the Webinar Webinar Details Date and Time: Thursday, November 30th, from 2:00 PM – 3:00[...]
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Failure to Provide Proper Disclosures Leads to $2.5 Million Penalty
November 13, 2023SEC Releases Brief Introduction Recently, the SEC charged a well-known Investment Adviser for failures involving the description of investments within a Publicly Traded[...]
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Vigilant Compliance Newsletter | October 2023
November 03, 2023Monthly Newsletter In October, we saw Vigilant Insights and Announcements, SEC Insights and Releases and SEC Charges. Below is a brief overview[...]
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8 Important Considerations for Dual-Hatted CCOs
November 03, 2023Vigilant Insights Brief Introduction It is common practice that some small and medium-sized Firms will have a CCO that also has[...]
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Importance of Proactive Compliance | SEC’s Gurbir Grewal Reacts
November 02, 2023SEC Releases Brief Introduction On October 24th, SEC Director of the Division of Enforcement, Gurbir Grewal, spoke to the New York City Bar[...]
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