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.
Misleading Cybersecurity Disclosure Leads to SEC Charges
January 26, 2025SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading[...]
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SEC’s Anticipated Regulatory Outlook | Chuck Martin Insights
January 24, 2025Vigilant Insights Introduction The SEC started off their Fiscal Year with a record number of enforcement actions. As the industry anticipates[...]
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Improper Private Fund Expenses | Managers and Owner Charged
January 22, 2025SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to[...]
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Record Number of SEC Enforcement Actions | Q1 of FY 2025
January 21, 2025SEC Releases Introduction The SEC recently announced the results of their Enforcement Actions for the first quarter of their 2025 fiscal year. The[...]
Read ArticleVigilant Shortlisted for 2025 Fund Compliance Award
January 20, 2025VIGILANT ANNOUNCEMENTS Vigilant is thrilled to announce that we have been shortlisted for the following award below by With Intelligence for their 2025 Operations[...]
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$63.1 Million in Penalties for Recordkeeping Failures (12 Firms Charged)
January 15, 2025SEC RELEASES Introduction The SEC continues to investigate and charge Firms that fail to meet regulatory requirements around recordkeeping. On[...]
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Names Rule FAQ Released by the SEC
January 13, 2025SEC RELEASES Introduction The SEC recently published an FAQ to answer certain industry questions surrounding the amendments to the Names[...]
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3 Firms Charged for Delayed Form D Filings
January 07, 2025SEC RELEASES Introduction Three (3) Firms were charged $430,000 in total on December 20th, 2024 for failing to timely file[...]
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Vigilant Compliance Newsletter | December 2024
January 02, 2025Monthly Newsletter In December, there were important releases that contained both Vigilant Insights and SEC Releases content. There was also a Vigilant Announcement regarding a[...]
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Firm Charged $15 Million for Failure to Prevent and Detect Fraud
December 23, 2024SEC RELEASES Introduction After four investment advisers and registered representatives (hereby, financial advisors) were charged with stealing millions of dollars,[...]
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The Importance of Compliance Testing | Vigilant Insights
December 19, 2024Vigilant Insights Introduction As Firms finalize their compliance programs from 2024, a common concern for Compliance Officers focuses on Annual Testing.[...]
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Paul Atkins Nominated as SEC Chair | Salvatore Faia Insights
December 18, 2024VIGILANT INSIGHTS Introduction On December 4th, 2024, Paul Atkins was nominated by president-elect, Donald Trump, to take over for current[...]
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