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
SEC Amendments to Form 13F Are Now in Effect
January 31, 2023Vigilant Insights Brief Introduction The amendments for Form 13F announced in June 2022 have taken effect January 3rd, 2023. The SEC made these amendments[...]
Read Article
Vigilant Insights
SEC Plans to Finalize Multiple Proposed Rules for 2023
January 25, 2023Vigilant Insights Brief Introduction The SEC proposed twenty-four rules in 2022. According to recent announcement, the rules are expected to be[...]
Read Article
Vigilant Insights
“On The Fly Compliance” Will No Longer Fly With Current Regulatory Environment
January 19, 2023Vigilant Insights Brief Introduction The SEC charged close to $6.4 billion to firms and individuals in 2022, a record setting number.[...]
Read Article
Vigilant Insights
SEC May Be Accelerating Their Regulatory Agenda For 2023
January 13, 2023Vigilant Insights Brief Introduction In 2022, multiple SEC announcements made waves throughout the Industry. There is concern that the SEC’s agenda for 2023 may be[...]
Read Article
Vigilant Insights
SEC Attempts to add Climate Risk to the Regulatory Environment
January 10, 2023Vigilant Insights Brief Introduction As part of the twenty-six new rules announced in the first eight months of 2022, the SEC[...]
Read Article
Vigilant Insights
Three Areas The SEC Could Increase Private Equity Scrutiny in 2023
January 06, 2023Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023.[...]
Read Article
Vigilant Insights
Vigilant 2023 Compliance Calendar
December 28, 2022Vigilant Insights As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2023 Regulatory Filings Calendar, which[...]
Read Article
Vigilant Insights
New SEC Rules to be Aware of for 2023
December 14, 2022Vigilant Insights Brief Introduction Four important SEC rules were discussed during the National Compliance Seminar last month. Two have already been[...]
Read Article
Vigilant Insights
Firms Investing More in Compliance to Reduce Regulatory Headaches
December 07, 2022Vigilant Insights Brief Introduction In light of recent SEC charges, including the charges against firms for failing to monitor and record electronic[...]
Read Article
Vigilant Insights
Moving to a Proactive Compliance Approach | Vigilant Insights
November 21, 2022Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President[...]
Read Article
Vigilant Insights
How Outsourced Compliance Could Benefit Your Firm
November 01, 2022Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their[...]
Read Article
Vigilant Insights
SEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts
October 31, 2022Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act[...]
Read Article