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 Sweep for AI Use | Fred Teufel Insights
August 20, 2024VIGILANT INSIGHTS Introduction The use of Artificial Intelligence (“AI”) by Registered Investment Advisers (“RIAs”) and Broker Dealers is one of[...]
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Tailored Shareholder Reports Rule | Liam Clarke Insights
August 19, 2024VIGILANT INSIGHTS Introduction With the most recent compliance date of July 24th, the Tailored Shareholder Reports Rule is already causing[...]
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26 Firms Fined $392 Million | Recordkeeping Failures
August 16, 2024SEC Releases Introduction On August 14th, 2024, nearly $400 million in charges were filed against twenty-six (26) Firms by the SEC for widespread recordkeeping failures. Recordkeeping failures[...]
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$430k Marketing Rule Fine on Hypothetical Performance
August 13, 2024SEC RELEASES Introduction An RIA based in Washington was charged by the SEC on August 9th, 2024, for Marketing Rule[...]
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Vigilant Shortlisted for Alternative Credit Compliance Award
August 08, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the Compliance Service of the Year Award by Alternative Credit[...]
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SEC Initially Decides Not to Appeal Private Fund Rule Decision
August 07, 2024NEWS AND ALERTS Introduction The SEC has appeared to have chosen to not to initially appeal against the ruling of[...]
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Vigilant Compliance Newsletter | July 2024
August 01, 2024Monthly Newsletter In July, we saw Vigilant Insights, SEC Releases and Vigilant Announcements. Below is a brief overview of what took place[...]
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SEC Tailored Shareholder Reports Rule | Liam Clarke Insights
July 30, 2024VIGILANT INSIGHTS Introduction The SEC’s Tailored Shareholder Reports Rule had a Compliance Date on July 24th, 2024. As Funds make[...]
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Vigilant Shortlisted for Private Equity and Hedge Fund Awards
July 23, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by Private Equity Wire and Hedgeweek for their US Awards.[...]
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Compliance Implications from Supreme Court Rulings
July 15, 2024VIGILANT INSIGHTS Introduction Last month, the Supreme Court overturned the Chevron Doctrine which will likely have a lasting impact on[...]
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Vigilant Shortlisted for Private Credit Compliance Award
July 12, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the Compliance Service of the Year Award by Private Equity[...]
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SEC Spring 2024 Regulatory Agenda Released
July 09, 2024SEC RELEASES Proposed Rules Up for Final Approval! On July 8th, the SEC released their Spring 2024 Regulatory Agenda. In[...]
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