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.

 

SEC Releases

SEC Enforcement Results for FY 2023 | Key Stats and Trends

November 15, 2023

SEC 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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SEC Releases

Failure to Provide Proper Disclosures Leads to $2.5 Million Penalty

November 13, 2023

SEC 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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SEC Releases

Importance of Proactive Compliance | SEC’s Gurbir Grewal Reacts

November 02, 2023

SEC 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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SEC Releases

SEC Chair, Gary Gensler, Fiscal Year 2023 Takeaways

October 31, 2023

SEC Releases Brief Introduction On October 25th, SEC Chair, Gary Gensler, spoke at the 2023 Securities Enforcement Forum. Labeling the SEC as “partners of[...]

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SEC Releases

Commissioner Uyeda Key Takeaways from the NSCP Conference

October 26, 2023

SEC Releases Introduction SEC Commissioner, Mark Uyeda, spoke at the National Society of Compliance Professionals (“NSCP”) Conference recently about various topics. Although[...]

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SEC Releases

2024 SEC Division of Examinations Priorities | Key Takeaways

October 17, 2023

SEC Releases Introduction On Monday, October 16th, the SEC Division of Examinations released their examination priorities for 2024. To no surprise,[...]

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SEC Releases

Duty of Care and Disclosure Violations | $1.3 Million SEC Charge

October 13, 2023

SEC Releases Introduction On October 10th, the SEC charged an RIA for breaching its fiduciary duties. The Firm failed to properly disclosure[...]

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SEC Releases

Modernization of Beneficial Ownership Reporting | SEC Adopts Rule Amendments

October 12, 2023

SEC Releases Brief Introduction On October 10th, the SEC adopted rule amendments related to beneficial ownership reporting requirements. The amendments to Section 13(d) and[...]

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SEC Releases

Unregistered Broker Activities | RIA Charged $821 Thousand

October 09, 2023

SEC Releases Brief Introduction An investment adviser was charged in September by the SEC for accepting compensation for brokerage services for its advisory[...]

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SEC Releases

10 Firms Charged $79 Million for Recordkeeping Failures

October 02, 2023

SEC Releases Brief Introduction The SEC announced multiple charges on Friday, September 29th, for violations of recordkeeping requirements. The following type of Firms[...]

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SEC Releases

Material Misstatements Lead to SEC Charge | Marketing Rule

September 26, 2023

SEC Releases Brief Introduction The SEC remains active towards the Marketing Rule and has charged another Registered Investment Adviser (“RIA”) with violations[...]

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SEC Releases

Private Equity Infrastructure RIA Charged for Breach of Duty

September 25, 2023

SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty[...]

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