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.
News and Alerts
SEC Initially Decides Not to Appeal Private Fund Rule Decision
August 07, 2024NEWS AND ALERTS Introduction The SEC has appeared to have chosen to not to initially appeal against the ruling of[...]
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News and Alerts
Private Fund Rule Overturned by Appeals Court
June 05, 2024NEWS AND ALERTS Court Opinion in the 5th Circuit Introduction The Private Fund Rules adopted in August of 2023, with[...]
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News and Alerts
Reg BI Violations | Broker Suspended
January 29, 2024News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were[...]
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News and Alerts
Private Funds Forced to Adapt to Ongoing SEC Regulations
December 15, 2023News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the[...]
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News and Alerts
Increased Compliance Investments Indicated by Survey
December 07, 2023News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our[...]
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News and Alerts
New Private Fund Rule Compliance Date
September 15, 2023News and Alerts Effective Date Now Set for the Private Fund Rule The SEC recently adopted the new Private Fund Rule for Private[...]
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News and Alerts
SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd
August 17, 2023News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August[...]
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News and Alerts
New Cybersecurity Rule Compliance Dates
August 11, 2023News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement[...]
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News and Alerts
Off-Channel Communication Still a Major Regulatory Focus
August 02, 2023NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related[...]
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News and Alerts
SEC Will Increase Examiners With Budget Increase
July 24, 2023NEWS AND ALERTS Brief Introduction SEC Chairman, Gary Gensler, spoke with senators last week about his plans for the $194[...]
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News and Alerts
High Demand for Mock Exams
July 17, 2023NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule[...]
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News and Alerts
Key Takeaways from House Committee Letter to SEC Chairman
July 12, 2023NEWS AND ALERTS Brief Introduction On June 28th, the House Financial Services Committee sent a letter to SEC Chairman, Gary[...]
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