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 Charges 9 Investment Advisers on Custody Rule and ADV Violations
September 14, 2022Brief Introduction On September 9th, the SEC charged 9 investment advisers that failed to comply with requirements relating to safekeeping client assets and/or[...]
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SEC Releases
SEC’s Drafted Strategic Plan for Fiscal Years 2022 to 2026
August 29, 2022Brief Introduction to the Strategic Plan On August 24th, the SEC released a draft of their strategic plan for fiscal years 2022[...]
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SEC Releases
Risk Alert Observations from Municipal Advisor Examinations
August 25, 2022Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior[...]
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SEC Releases
SEC Emphasizes Importance of Reg BI Adherence
August 17, 2022Brief Introduction On Tuesday, August 2, 2022, the SEC staff released a bulletin emphasizing the importance of adhering to the Investment Advisers Act[...]
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SEC Releases
SEC Proposed Form PF Amendments to Enhance Private Fund Reporting
August 11, 2022Brief Introduction On August 10th, the SEC proposed amendments to Form PF which would enhance private fund reporting. Specifically, these amendments would strengthen the SEC’s investor protection[...]
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SEC Releases
SEC Charges Firms for Deficiencies in Customer Identity Theft Prevention
August 01, 2022Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent[...]
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SEC Releases
4 Key Takeaways from the 2022 PLI Investment Management Program
July 28, 2022Brief Introduction On July 26th, 2022, Practising Law Institute (“PLI”) hosted their annual program for 2022 on Current Issues & Trends[...]
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SEC Releases
Brokerage Firm Charged by SEC for Violating Reg BI Standards
July 18, 2022Brief Introduction On June 16th, the SEC announced that they had charged a registered broker-dealer and five of its registered representatives for[...]
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SEC Releases
SEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers
July 08, 2022Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information[...]
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SEC Releases
SEC Imposes Largest Penalty Ever Against an Audit Firm
June 30, 2022Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA[...]
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SEC Releases
SEC Adopts Rules to Require Electronic Filings
June 28, 2022Brief Introduction On Thursday, June 23rd, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers,[...]
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SEC Releases
Spring 2022 Regulatory Agenda | SEC Announcements
June 23, 2022Brief Introduction On Wednesday, June 22nd, the SEC announced that the Office of Information and Regulatory Affairs released the Spring 2022 Unified[...]
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