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.
Vigilant Insights
Misleading AI Statements | Fred Teufel Reacts
April 11, 2024Vigilant Insights Introduction The SEC announced last month that two (2) Investment Advisers were charged $400,000 for misleading statements related[...]
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Importance of a Strong Culture of Compliance | Chelsea Bosiljevac Insights
February 15, 2024Vigilant Insights Introduction The most recent SEC enforcement involving recordkeeping and off-channel communications reinforces our opinion that there will be no slowing down for the Agency when[...]
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Vigilant 2024 Compliance Calendar | Download Here
January 29, 2024Vigilant Insights Introduction As you continue to prepare for the new year, be sure to check out Vigilant’s 2024 Regulatory Filings Calendar, which[...]
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A Partnership Driven Compliance Provider | Vigilant
January 24, 2024Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why[...]
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Vigilant Insights
Potential 2024 SEC Rule Adoptions
January 20, 2024Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is[...]
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7 Effective Compliance Strategies for 2024
January 16, 2024Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong[...]
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Vigilant Insights
Electronic Communication Recordkeeping and SEC Enforcements
January 12, 2024Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have[...]
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Top SEC Releases and Vigilant Insights from 2023
January 10, 2024Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024,[...]
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How to Prepare for an SEC Examination | Vigilant Insights
January 09, 2024Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of[...]
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AI Risks for Institutional Investors | Fred Teufel Insights
January 02, 2024Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA,[...]
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Rule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ
December 21, 2023Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5[...]
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SEC Continues Sweep for AI | Chuck Martin Insights on FundFire
December 18, 2023Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to[...]
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