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.
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[...]
Read Article
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,[...]
Read Article
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.[...]
Read Article
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[...]
Read Article
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.[...]
Read Article
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 &[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article