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
5 Advisory Firms Charged for Custody Rule Violations
September 06, 2023SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with[...]
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SEC Releases
SEC Reopens Comment Period for RIA Safeguarding Rule
August 25, 2023SEC Releases Brief Introduction Due to the new rules and amendments adopted on August 23rd, the SEC has reopened a 60-day comment[...]
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SEC Releases
SEC Adopts Private Fund Rules
August 24, 2023SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private[...]
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SEC Releases
11 Firms Charged by the SEC for Recordkeeping Failures
August 08, 2023SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with[...]
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SEC Releases
New Rule Adopted by SEC, Along with Two Proposals
July 28, 2023SEC RELEASES Brief Introduction On July 26th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident[...]
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SEC Releases
Private Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging
June 21, 2023SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts[...]
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SEC Releases
SEC Places 37 New Rules in Final Stage as part of its Spring Agenda
June 20, 2023SEC Releases Brief Introduction The SEC has announced its Spring 2023 Regulatory Agenda. SEC Chairman, Gary Gensler, explains the regulatory goals as focusing on[...]
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SEC Releases
New SEC Risk Alert on the Marketing Rule
June 12, 2023SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when[...]
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SEC Releases
Private Fund Compliance Failures Bring SEC Charges for RIA
June 01, 2023SEC Releases Brief Introduction A New York RIA was charged $275,000 by the SEC on May 24th for Compliance failures related to their valuation of Private Funds.[...]
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SEC Releases
Cybersecurity Investor Protection | SEC Commissioner Update
May 23, 2023SEC Releases Brief Introduction SEC Commissioner, Jaime Lizarrage, spoke at the Digital Directs Network on May 16th. He discussed how the SEC is[...]
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SEC Releases
SEC Continues Heightened Focus on Recordkeeping Failures
May 12, 2023SEC Releases Brief Introduction On May 11th, two Broker Dealer Firms were charged by the SEC for “widespread and longstanding failures” relating[...]
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SEC Releases
First Charges Ever Filed by the SEC for Liquidity Requirement Violations
May 08, 2023SEC Releases Brief Introduction On May 5th, the SEC charged a Firm $476,000 in disgorgement and civil penalties for aiding and abetting Liquidity[...]
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