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.
Form PF Failures | $790k in Fines
December 16, 2024SEC Releases Introduction Charges were announced on December 13th, 2024, against seven (7) Private Fund Advisers due to their failure to file Form PF.[...]
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Vigilant Selected as Best Regulatory & Compliance Adviser | IAM Awards
December 08, 2024Vigilant Announcements Vigilant is thrilled to announce that for the second year in a row, we have been selected as the 2024 Best Regulatory &[...]
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Vigilant Compliance Newsletter | November 2024
December 05, 2024Monthly Newsletter In November, there were important releases that contained both Vigilant Insights and SEC Releases content. Below is a brief overview[...]
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Trade Allocations Enforcement | Salvatore Faia Insights on Barron’s
December 02, 2024VIGILANT INSIGHTS Introduction After recent charges against a Fund Manager related to Trade Allocations involving an alleged $600 Million cherry-picking[...]
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2024 SEC Enforcement Results
November 27, 2024SEC Releases Introduction The SEC has released their enforcement results for fiscal year 2024. This year was a record-setting year for financial penalties and[...]
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Important Compliance Concerns for 2025
November 20, 2024VIGILANT INSIGHTS Introduction As compliance departments prepare for 2025, there is much discussion about how compliance leaders can continue to[...]
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The SEC Marketing Rule and a New Administration | Will Clark Insights
November 18, 2024Vigilant Insights Introduction With a new administration entering the White House in 2025, some are speculating that the regulatory climate[...]
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SEC Scrutiny of ESG Advertising | Maxwell Baker Insights
November 13, 2024VIGILANT INSIGHTS Introduction The SEC recently charged a Firm $17,500,000 for misleading statements about the role of ESG in their[...]
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RIC Risk Alert | Bernadette Murphy Insights
November 11, 2024VIGILANT INSIGHTS Introduction The SEC recently released a Risk Alert focusing on frequent deficiencies found during their examinations of Registered[...]
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Key Takeaways from the SEC Compliance Outreach Seminar
November 07, 2024SEC Releases Introduction Today, November 7th, the SEC just completed their National Compliance Program Outreach Seminar. There were opening remarks made by[...]
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Risk Alert Focused on RICs | Division of Examinations
November 06, 2024SEC RELEASES Introduction On November 4th, 2024, the Division of Examinations (EXAMS) released a risk alert for Registered Investment Companies[...]
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Vigilant Compliance Newsletter | October 2024
November 04, 2024Monthly Newsletter In October, we saw a good blend of Vigilant Insights and SEC Releases content, as well as a Vigilant Announcement too.[...]
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