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.
SEC Releases
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,[...]
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SEC Releases
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[...]
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SEC Releases
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[...]
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SEC Releases
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[...]
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SEC Releases
10 Firms Charged $79 Million for Recordkeeping Failures
October 02, 2023SEC Releases Brief Introduction The SEC announced multiple charges on Friday, September 29th, for violations of recordkeeping requirements. The following type of Firms[...]
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SEC Releases
Material Misstatements Lead to SEC Charge | Marketing Rule
September 26, 2023SEC Releases Brief Introduction The SEC remains active towards the Marketing Rule and has charged another Registered Investment Adviser (“RIA”) with violations[...]
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SEC Releases
Private Equity Infrastructure RIA Charged for Breach of Duty
September 25, 2023SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty[...]
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SEC Releases
Impact on Fund Names | SEC Adopts Rule Amendments
September 21, 2023SEC Releases Brief Introduction On September 20th, the SEC adopted Rule enhancements to prevent misleading or deceptive Investment Fund Names. The main focus by[...]
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SEC Releases
RIA Charged by the SEC for Repeat Compliance Failures
September 18, 2023SEC Releases Brief Introduction A New York-based RIA was charged by the SEC for failing to adopt and implement written compliance policies and[...]
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SEC Releases
Misleading Disclosures Related to Information Barriers
September 14, 2023SEC Releases Brief Introduction The SEC has filed charges in U.S. District Court against a Firm and their Parent Company for allegedly making materially[...]
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SEC Releases
9 Marketing Rule Violations | SEC Charges
September 12, 2023SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule.[...]
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SEC Releases
Risk Alert for Investment Advisers | SEC Releases
September 07, 2023SEC Releases Brief Introduction The SEC Division of Examinations (“Division” or “EXAMS”) recently published a Risk Alert to give additional information about the Risk-Based Approach the[...]
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