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, 2023

Vigilant Insights Brief Introduction The amendments for Form 13F announced in June 2022 have taken effect January 3rd, 2023. The SEC made these amendments[...]

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SEC Plans to Finalize Multiple Proposed Rules for 2023

January 25, 2023

Vigilant Insights Brief Introduction The SEC proposed twenty-four rules in 2022. According to recent announcement, the rules are expected to be[...]

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“On The Fly Compliance” Will No Longer Fly With Current Regulatory Environment

January 19, 2023

Vigilant Insights Brief Introduction The SEC charged close to $6.4 billion to firms and individuals in 2022, a record setting number.[...]

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SEC May Be Accelerating Their Regulatory Agenda For 2023

January 13, 2023

Vigilant 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[...]

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SEC Attempts to add Climate Risk to the Regulatory Environment

January 10, 2023

Vigilant Insights Brief Introduction As part of the twenty-six new rules announced in the first eight months of 2022, the SEC[...]

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Three Areas The SEC Could Increase Private Equity Scrutiny in 2023

January 06, 2023

Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023.[...]

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Vigilant 2023 Compliance Calendar

December 28, 2022

Vigilant Insights As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2023 Regulatory Filings Calendar, which[...]

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New SEC Rules to be Aware of for 2023

December 14, 2022

Vigilant Insights Brief Introduction Four important SEC rules were discussed during the National Compliance Seminar last month. Two have already been[...]

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Firms Investing More in Compliance to Reduce Regulatory Headaches

December 07, 2022

Vigilant Insights Brief Introduction In light of recent SEC charges, including the charges against firms for failing to monitor and record electronic[...]

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Moving to a Proactive Compliance Approach | Vigilant Insights

November 21, 2022

Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President[...]

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How Outsourced Compliance Could Benefit Your Firm

November 01, 2022

  Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their[...]

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SEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts

October 31, 2022

Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act[...]

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