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 Disclosure Amendments (N-PORT and N-CEN) | Liam Clarke Insights
September 24, 2024Vigilant Insights Introduction The SEC made changes to certain disclosure requirements recently involving N-PORT and N-CEN filings. The changes were adopted on August 28th, 2024.[...]
Read Article
Recordkeeping Violations Display No Slow Down | $1.3M in Fines
September 19, 2024SEC RELEASES Introduction Recordkeeping failures have been costly for multiple Firms in the past few years. We have seen recent[...]
Read Article
SEC Swing Pricing Proposal Shelved | Fred Teufel Insights
September 17, 2024VIGILANT INSIGHTS Introduction The SEC adopted additional requirements on August 28th, 2024, related to Forms N-PORT and N-CEN. Form N-PORTs[...]
Read Article
SEC Recordkeeping Enforcements | Bernadette Murphy Insights
September 16, 2024VIGILANT INSIGHTS Introduction The SEC’s recent charges related to recordkeeping in August clearly indicate that the SEC has no intention[...]
Read Article
Vigilant Wins 2024 Hedge Fund Compliance Award!
September 13, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been awarded as the 2024 Best Advisory Firm – Regulation and Compliance by With Intelligence for[...]
Read Article
$1.2 Million in Marketing Rule Violations | 9 Firms Charged
September 10, 2024SEC RELEASES Introduction On September 9th, 2024, the SEC announced charges against nine (9) Firms for Marketing Rule violations. The[...]
Read Article
3 SEC Charges | Marketing Rule, Recordkeeping, and Custody Rule
September 06, 2024SEC RELEASES Introduction September 3rd, 2024 was a busy day for SEC Enforcement. There were Recordkeeping failures amongst six Credit[...]
Read Article
Vigilant Shortlisted for ETF Compliance and Distributor Awards
September 04, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following awards below by ETF Express for their 2024[...]
Read Article
Weathering the Storm: Successful Compliance in A Regulatory Whirlwind
September 02, 2024Vigilant Insights Introduction There is little to argue that compliance success has become a more difficult achievement in the past few years. Firms discovered early[...]
Read Article
Custody Rule Violations | Will Clark Insights
August 29, 2024VIGILANT INSIGHTS Introduction A New York Firm was charged $75,000 for allegedly violating custody and compliance rules in relation to[...]
Read Article
SEC Charges for Off-Channel Communications | Donna DiMaria Insights
August 27, 2024VIGILANT INSIGHTS Introduction The industry received a big reminder this month that the SEC continues to target off-channel communications by[...]
Read Article
Pay-to-Play Violations | Maxwell Baker Insights
August 21, 2024Vigilant Insights Introduction A Texas Firm was charged a $95,000 penalty on August 19th for violating the Pay-to-Play Rule. This occurred because an employee had donated over[...]
Read Article