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 | September 2024
October 01, 2024Monthly Newsletter In September, we saw heavy volume in both Vigilant Insights and SEC Releases, as well as a few Vigilant Announcements too.[...]
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Reg BI Violations Result in $325k Charge for Broker Dealer
September 30, 2024SEC RELEASES Introduction The SEC announced charges against a Broker Dealer on September 18th, 2024, for violations pertaining to Regulation[...]
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Compliance Program Oversight Failure for an RIA Results in $150k Fine
September 27, 2024SEC Releases Introduction The SEC announced on September 20th, 2024, that a New York RIA with $723 Million in AUM[...]
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$3.4 Million in Fines for Form 13F Failures | Michael Hogan Insights
September 25, 2024VIGILANT INSIGHTS Introduction Multiple Firms were fined a combined $3.4 million in penalties for failing to file Form 13F in[...]
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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.[...]
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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[...]
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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[...]
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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[...]
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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[...]
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$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[...]
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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[...]
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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[...]
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