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.
Fund Misstatements Lead to $4 Million SEC Charge
October 23, 2024SEC Releases Introduction On October 21st, the SEC announced a $4 Million Charge to a NY RIA for compliance failures and making misstatements.[...]
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2025 Division of Examinations Exam Priorities
October 21, 2024SEC Releases Introduction On October 21st, 2024, the Division of Examinations (EXAMS) released their 2025 Examination Priorities. There is detailed coverage[...]
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Misleading AI Marketing Statements | $523k SEC Charge
October 17, 2024SEC RELEASES Introduction On October 10th, the SEC announced charges against a Firm and its controlling members for their use[...]
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Vigilant Becomes Three (3) Time Hedgeweek Award Winners!
October 11, 2024Vigilant Announcements (Vigilant Becomes Three (3) Time Hedgeweek Award Winners) For the third year in a row, Vigilant was awarded as the[...]
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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[...]
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Vigilant Compliance Newsletter | September 2024
October 01, 2024Monthly Newsletter In September, we saw heavy volume in both Vigilant Insights and SEC Releases, as well as a few Vigilant Announcements too.[...]
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Reg BI Violations Result in $325k Charge for Broker Dealer
September 30, 2024SEC RELEASES Introduction The SEC announced charges against a Broker Dealer on September 18th, 2024, for violations pertaining to Regulation[...]
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Compliance Program Oversight Failure for an RIA Results in $150k Fine
September 27, 2024SEC Releases Introduction The SEC announced on September 20th, 2024, that a New York RIA with $723 Million in AUM[...]
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$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[...]
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SEC Disclosure Amendments (N-PORT and N-CEN) | Liam Clarke Insights
September 24, 2024Vigilant Insights Introduction The SEC made changes to certain disclosure requirements recently involving N-PORT and N-CEN filings. The changes were adopted on August 28th, 2024.[...]
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Recordkeeping Violations Display No Slow Down | $1.3M in Fines
September 19, 2024SEC RELEASES Introduction Recordkeeping failures have been costly for multiple Firms in the past few years. We have seen recent[...]
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SEC Swing Pricing Proposal Shelved | Fred Teufel Insights
September 17, 2024VIGILANT INSIGHTS Introduction The SEC adopted additional requirements on August 28th, 2024, related to Forms N-PORT and N-CEN. Form N-PORTs[...]
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