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
Complying with the Marketing Rule 1 Year Later | Thayne Gould Insights
November 16, 2023Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there[...]
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Vigilant Insights
8 Important Considerations for Dual-Hatted CCOs
November 03, 2023Vigilant Insights Brief Introduction It is common practice that some small and medium-sized Firms will have a CCO that also has[...]
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Vigilant Insights
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[...]
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Vigilant Insights
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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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Importance of Maintaining Records of Communications | Will Clark Insights
October 03, 2023Vigilant Insights Off-channel communication violations continue to be a costly compliance mistake in the securities industry. Almost $549 million in fines have been handed out[...]
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Private Equity Firms Should Consider Outsourced Compliance
September 19, 2023Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their[...]
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Feeling “Overwhelmed” by Marketing Review | Vigilant Solutions
September 13, 2023Vigilant Insights Brief Introduction The SEC has recently released a Risk Alert describing the large amount of documents typically requested during SEC Examinations.[...]
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Regulatory Impact on Smaller Firms | Bernadette Murphy Insights
August 31, 2023Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment[...]
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