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 Shortlisted as Finalist for The Drawdown Awards
March 12, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance for[...]
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Climate-Related Disclosures | SEC Adopts Rules
March 08, 2024SEC Releases Introduction The SEC announced on March 6th, 2024, that final rules have been adopted that require Firms to provide disclosures[...]
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SEC Charges Firm $950k for Disclosure Failures
March 05, 2024SEC Releases Introduction The SEC charged an Investment Adviser with disclosure failures related to required 13G and 13D Filings. Failures to submit timely[...]
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Vigilant Compliance Newsletter | February 2024
March 03, 2024Monthly Newsletter In February, we saw Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a brief[...]
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$1.5 Million Charge for ETF Launch Disclosure Failure
February 26, 2024SEC Releases Introduction An RIA was recently charged $1.5 Million by the SEC for failing to provide proper disclosures about the launch of one[...]
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$2.2 Million Reg BI Violation | SEC Releases
February 23, 2024SEC Releases Introduction A Broker Dealer was charged $2.2 Million on February 16th for failures to comply with Regulation Best Interest (“Reg BI”). Reg BI continues to[...]
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SEC Chair, Gary Gensler, Discusses AI
February 21, 2024SEC Releases Introduction SEC Chair, Gary Gensler, recently spoke at a Yale Law School event about Artificial Intelligence (“AI”) and the important role[...]
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Vigilant Named as 2024 Best Compliance Advisory Firm
February 19, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been named as the 2024 Best Compliance Advisory Firm by With Intelligence[...]
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Importance of a Strong Culture of Compliance | Chelsea Bosiljevac Insights
February 15, 2024Vigilant Insights Introduction The most recent SEC enforcement involving recordkeeping and off-channel communications reinforces our opinion that there will be no slowing down for the Agency when[...]
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Form PF Amendments Adopted | SEC Releases
February 10, 2024SEC Releases Introduction The SEC adopted amendments to Form PF on February 8th, 2024. Their goal is to enhance reporting by large hedge[...]
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$81 Million Fines for Recordkeeping Failures (RIAs/BDs)
February 09, 2024SEC Releases Introduction The SEC just announced that sixteen (16) Firms have been penalized $81 Million for widespread and longstanding recordkeeping failures. The types[...]
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Failure of Properly Implementing WSPs | FINRA Fine
February 06, 2024FINRA Introduction A FINRA Firm was recently disciplined for failures to properly implement WSPs that would adequately review the electronic communications of its registered[...]
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