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 Compliance Program Outreach National Seminar | Key Takeaways
November 15, 2022SEC Releases Brief Introduction Today, November 15th, the SEC just completed their Compliance Program Outreach National Seminar, which covered multiple[...]
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SEC Releases
SEC Adopts Key Reforms for Mutual Fund and ETF Disclosures
November 10, 2022SEC Releases Brief Introduction On October 26th, the SEC adopted important disclosure reforms for the Mutual Fund and ETF industry. The[...]
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SEC Releases
New SEC Proposal | Focus on Open-End Fund Liquidity
November 07, 2022SEC Releases Brief Introduction On November 2nd, the SEC voted to propose amendments with the goal of preparing Open-Ended Funds for[...]
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SEC Releases
SEC Adopts Rules to Enhance Proxy Voting Disclosure
November 02, 2022SEC Releases Brief Introduction The SEC announced Today, November 2nd, that they have adopted Amendments to Form N-PX. This will enhance the proxy[...]
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SEC Releases
SEC Proposes Rule for Outsourcing by Investment Advisers
October 27, 2022SEC Releases Overview: Proposed Rule 206(4)-11 – Service Provider Oversight On October 27, 2022, the Securities and Exchange Commission (“SEC”)[...]
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SEC Releases
New SEC Rule Amends Modern Preservation of Electronic Records
October 14, 2022SEC Releases Brief Introduction On October 12th, the SEC voted to amend the electronic recordkeeping, prompt production of records, and third-party recordkeeping[...]
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SEC Releases
Malfunction On Commenting For 11 Rulemaking Releases
October 12, 2022SEC Releases Brief Introduction The SEC routinely opens a comment period for rulemaking releases to allow any interested and affected persons the[...]
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SEC Releases
Breaches of Fiduciary Duty and Compliance Failures | SEC Charge
October 11, 2022SEC Releases Brief Introduction Last month, an Investment Adviser was charged by the SEC with a $200,000 civil penalty and required to pay clients $575,589[...]
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SEC Releases
First SEC Fine Under The Municipal Advisor Registration Rule
October 03, 2022Brief Introduction For the first time under the municipal advisor registration rule, the SEC fined a Registered Broker Dealer for a violation of[...]
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SEC Releases
SEC Charges $1.1 Billion to 16 Wall Street Firms
September 28, 2022SEC Charges $1.1 Billion to 16 Firms Brief Introduction On September 27th, the SEC charged 16 firms over $1.1 Billion in[...]
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SEC Releases
SEC Charges $35 Million Over Failures to Protect “PII”
September 21, 2022SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm[...]
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SEC Releases
Risk Alert “Reminder” | New Marketing Rule
September 20, 2022EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”),[...]
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