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.
Commissioner Uyeda Key Takeaways from the NSCP Conference
October 26, 2023SEC Releases Introduction SEC Commissioner, Mark Uyeda, spoke at the National Society of Compliance Professionals (“NSCP”) Conference recently about various topics. Although[...]
Read Article
2024 SEC Division of Examinations Priorities | Key Takeaways
October 17, 2023SEC Releases Introduction On Monday, October 16th, the SEC Division of Examinations released their examination priorities for 2024. To no surprise,[...]
Read Article
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[...]
Read Article
Duty of Care and Disclosure Violations | $1.3 Million SEC Charge
October 13, 2023SEC Releases Introduction On October 10th, the SEC charged an RIA for breaching its fiduciary duties. The Firm failed to properly disclosure[...]
Read Article
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[...]
Read Article
Modernization of Beneficial Ownership Reporting | SEC Adopts Rule Amendments
October 12, 2023SEC Releases Brief Introduction On October 10th, the SEC adopted rule amendments related to beneficial ownership reporting requirements. The amendments to Section 13(d) and[...]
Read Article
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[...]
Read Article
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[...]
Read Article
Unregistered Broker Activities | RIA Charged $821 Thousand
October 09, 2023SEC Releases Brief Introduction An investment adviser was charged in September by the SEC for accepting compensation for brokerage services for its advisory[...]
Read Article
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[...]
Read Article
Interval Fund Faces Valuation Issues | Fred Teufel Reacts
October 05, 2023Vigilant Insights Brief Introduction Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in an Ignites article recently discussing a request made to[...]
Read Article
Vigilant Shortlisted as Best Regulatory & Compliance Adviser
October 04, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory & Compliance Adviser for the Institutional Asset Manager[...]
Read Article