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.
$63.1 Million in Penalties for Recordkeeping Failures (12 Firms Charged)
January 15, 2025SEC RELEASES Introduction The SEC continues to investigate and charge Firms that fail to meet regulatory requirements around recordkeeping. On[...]
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Names Rule FAQ Released by the SEC
January 13, 2025SEC RELEASES Introduction The SEC recently published an FAQ to answer certain industry questions surrounding the amendments to the Names[...]
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3 Firms Charged for Delayed Form D Filings
January 07, 2025SEC RELEASES Introduction Three (3) Firms were charged $430,000 in total on December 20th, 2024 for failing to timely file[...]
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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[...]
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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,[...]
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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.[...]
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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[...]
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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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