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
The Importance of Compliance Testing | Vigilant Insights
December 19, 2024Vigilant Insights Introduction As Firms finalize their compliance programs from 2024, a common concern for Compliance Officers focuses on Annual Testing.[...]
Read Article
Vigilant Insights
Paul Atkins Nominated as SEC Chair | Salvatore Faia Insights
December 18, 2024VIGILANT INSIGHTS Introduction On December 4th, 2024, Paul Atkins was nominated by president-elect, Donald Trump, to take over for current[...]
Read Article
Vigilant Insights
Trade Allocations Enforcement | Salvatore Faia Insights on Barron’s
December 02, 2024VIGILANT INSIGHTS Introduction After recent charges against a Fund Manager related to Trade Allocations involving an alleged $600 Million cherry-picking[...]
Read Article
Vigilant Insights
Important Compliance Concerns for 2025
November 20, 2024VIGILANT INSIGHTS Introduction As compliance departments prepare for 2025, there is much discussion about how compliance leaders can continue to[...]
Read Article
Vigilant Insights
The SEC Marketing Rule and a New Administration | Will Clark Insights
November 18, 2024Vigilant Insights Introduction With a new administration entering the White House in 2025, some are speculating that the regulatory climate[...]
Read Article
Vigilant Insights
SEC Scrutiny of ESG Advertising | Maxwell Baker Insights
November 13, 2024VIGILANT INSIGHTS Introduction The SEC recently charged a Firm $17,500,000 for misleading statements about the role of ESG in their[...]
Read Article
Vigilant Insights
RIC Risk Alert | Bernadette Murphy Insights
November 11, 2024VIGILANT INSIGHTS Introduction The SEC recently released a Risk Alert focusing on frequent deficiencies found during their examinations of Registered[...]
Read Article
Vigilant Insights
AI Oversight is Lacking for Firms | Maxwell Baker Insights
November 03, 2024Vigilant Insights Introduction A recent survey that will be released in November reveals that although a majority of Financial Service[...]
Read Article
Vigilant Insights
2025 Examination Priorities | Maxwell Baker Insights
November 01, 2024VIGILANT INSIGHTS Introduction With the 2025 SEC exam priorities released last week, compliance professionals are analyzing their programs to ensure that they meet[...]
Read Article
Vigilant Insights
Cybersecurity Demand Increases for Pension Funds | Laura Arnott Insights
October 30, 2024VIGILANT INSIGHTS Introduction Cybersecurity continues to be a focus area for the SEC and the rest of the Financial Services[...]
Read Article
Vigilant Insights
Many Firms Abandon Prime Institutional Funds | Fred Teufel Insights
October 07, 2024VIGILANT INSIGHTS Introduction As the SEC’s new liquidity and fee requirements went into effect Wednesday, October 2nd, 2024, many Firms[...]
Read Article
Vigilant Insights
$3.4 Million in Fines for Form 13F Failures | Michael Hogan Insights
September 25, 2024VIGILANT INSIGHTS Introduction Multiple Firms were fined a combined $3.4 million in penalties for failing to file Form 13F in[...]
Read Article