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.
Compliance Risks from Political Contributions | Donna DiMaria Insights
June 25, 2024VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year.[...]
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Firms Struggling with the Marketing Rule | Will Clark Insights
June 24, 2024VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private[...]
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Cybersecurity Violations Result in $2.1 Million Penalty
June 19, 2024SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control[...]
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SEC Chair and Commissioners Discuss AI | SEC Releases
June 14, 2024SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient[...]
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Risk Alert on Broker Dealer Examinations
June 07, 2024SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers.[...]
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Private Fund Rule Overturned by Appeals Court
June 05, 2024NEWS AND ALERTS Court Opinion in the 5th Circuit Introduction The Private Fund Rules adopted in August of 2023, with[...]
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How to Cooperate During SEC Investigations | SEC Releases
June 05, 2024SEC Releases Introduction On May 23rd, SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West[...]
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False Statements and Conflicts of Interest | Firm and Co-Founder Charged
June 03, 2024SEC RELEASES Introduction On May 29th, the SEC announced charges against a previous RIA and its Co-Founder for statements made[...]
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Reg SCI Failures | $10 Million SEC Charge
May 28, 2024SEC RELEASES Introduction On May 22nd, the SEC announced a $10 million penalty against a business for failing to notify[...]
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SEC and FinCEN Propose New Rule for Customer Identification Program
May 20, 2024SEC RELEASES Introduction On May 13th, the SEC and FinCEN issued a joint proposal for customer identification program obligations to[...]
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SEC Adopts Amendments to Regulation S-P
May 16, 2024SEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These[...]
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The Marketing Rule and the Public Good | Gary Gensler Takeaways
May 15, 2024SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into[...]
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