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
AI and SEC Exams – Fred Teufel and CJ Schaible Insights
December 04, 2023Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected[...]
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FINRA Projected Performance Proposal | Thayne Gould Insights
November 30, 2023Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain[...]
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SEC Exams Heightened Focus on Tech | Fred Teufel Insights
November 29, 2023Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and[...]
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SEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights
November 26, 2023Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in[...]
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Best Practices for Keeping your RIA Compliant
November 19, 2023Vigilant Insights Introduction There is a significant amount of regulatory requirements as a Registered Investment Adviser (“RIA”). Requirements which include a breadth[...]
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Complying with the Marketing Rule 1 Year Later | Thayne Gould Insights
November 16, 2023Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there[...]
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8 Important Considerations for Dual-Hatted CCOs
November 03, 2023Vigilant Insights Brief Introduction It is common practice that some small and medium-sized Firms will have a CCO that also has[...]
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Preparation Required for New Cybersecurity Rules
October 13, 2023Vigilant Insights Brief Introduction In a recent Deloitte Survey, 26% of Firms surveyed have not prepared for the new SEC cybersecurity rules. With[...]
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ETF Class | Salvatore Faia (President & CEO) Insights
October 12, 2023Vigilant Insights Introduction Dimensional Fund Advisors has a pending application with the SEC with the hope of expanding the exemptive relief that Vanguard had previously[...]
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Recent Marketing Rule Enforcements | Thayne Gould Reacts
October 09, 2023Vigilant Insights Brief Introduction The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance. These charges[...]
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Major Overhaul of Resources for AI Proposal | Fred Teufel Insights
October 09, 2023Vigilant Insights Brief Introduction The SEC’s rule proposal related to artificial intelligence (“AI”) and data analysis has made waves in the Registered Investment[...]
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Marketing Rule Sweeps | Bernadette Murphy Insights
October 09, 2023Vigilant Insights Brief Introduction As the SEC continues to announce violations related to the Marketing Rule, Firms are understandably worried about their performance if[...]
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