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
SEC Adopts Amendments to Form PF
May 04, 2023SEC Releases Brief Introduction As “hinted” by SEC Chairman, Gary Gensler, at the MFA Conference recently, the SEC announced on[...]
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SEC Releases
Reg BI | SEC Releases Bulletin for RIAs and BDs
April 27, 2023SEC Releases Brief Introduction Last week, the SEC released a bulletin explaining the standards of conduct for Registered Investment Advisers (“RIAs”) and Broker[...]
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SEC Releases
SEC Chairman’s Congressional Testimony | Key Takeaways
April 24, 2023SEC Releases Brief Introduction On April 18th, SEC Chairman, Gary Gensler, gave testimony to the House of Representatives Committee on Financial Services.[...]
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SEC Releases
SEC Charges Investment Adviser for Tax Service Misstatements
April 19, 2023SEC Releases Brief Introduction On April 18th, an Investment Advisory Firm was charged by the SEC for misstatements and omissions relating to its[...]
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SEC Releases
Firm Pays $20 Million for Improper Securities Trading
April 14, 2023SEC Releases Brief Introduction On April 3rd, a Firm and its Founder agreed to pay $19.3 million in disgorgement, interest, and civil penalties[...]
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SEC Releases
SEC Releases Risk Alert for Newly Registered Advisers
March 30, 2023SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during[...]
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SEC Releases
SEC Proposes Amendments to Regulation S-P
March 19, 2023SEC Releases Brief Introduction On March 15th, the SEC proposed new changes to Regulation S-P . Their goal is to enhance the protection of customer[...]
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SEC Releases
SEC Reopens Comment Period for Proposed Cybersecurity Rule
March 17, 2023SEC Releases On March 15th, the SEC chose to reopen the comment period on the Proposed Cyber Rule for cybersecurity risk management[...]
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SEC Releases
Private Equity Consultant Charged with Insider Trading
February 28, 2023SEC Releases Brief Introduction The SEC charged a former consultant for a Private Equity Firm, and his close friend, with insider trading on[...]
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SEC Releases
SEC Charges Investment Advisory Firm For Trading Violations
February 22, 2023SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve[...]
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SEC Releases
SEC Finalizes Rule Changes for Settlement Cycles
February 17, 2023SEC Releases Brief Synopsis On February 15th, the SEC formally adopted rule changes to reduce the settlement cycle for most Broker Dealer transactions.[...]
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SEC Releases
New SEC Proposed Rule | RIA Protection of Customer Assets
February 16, 2023SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February[...]
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