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 Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund
June 14, 2022Brief Introduction Today, June 14th, the SEC announced that they charged a Private Equity Adviser with allocating undisclosed, disproportionate expenses to a[...]
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SEC Releases
SEC’s First-Ever Enforcement Proceeding Under Section 11 Of The Investment Company Act Of 1940
June 02, 2022Brief Introduction Last week, the SEC’s first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching[...]
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SEC Releases
SEC Proposes New Rule Towards ESG Investment Practices
May 27, 2022Brief Introduction On Wednesday, May 25th, the SEC released Proposed ESG Related Amendments for Funds and Advisers. Who Does This Apply[...]
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SEC Releases
SEC Fines RIA $760k+ Over Wrap Fees
May 05, 2022Brief Introduction | SEC Fines RIA $760k+ Over Wrap Fees Recently, the SEC fined an RIA Firm over $760,000+ over Wrap[...]
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SEC Releases
RISK ALERT | Investment Adviser MNPI Compliance Issues
April 26, 2022Brief Introduction On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and[...]
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SEC Releases
SEC Proposes Rules Towards SPACs, Shell Companies, and Projections
April 21, 2022Brief Introduction The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special[...]
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SEC Releases
SEC Releases 2022 Examination Priorities
March 31, 2022Brief Introduction to the 2022 Examination Priorities On Wednesday, March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities. Vigilant[...]
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SEC Releases
SEC Proposes Rules for Climate-Related Disclosures
March 29, 2022Brief Introduction The SEC released proposed rule changes for certain climate-related disclosures on March 21st to provide investors with consistent, comparable, and decision-useful[...]
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SEC Releases
SEC Proposes Multiple Rule Changes to Protect Investors
February 28, 2022Brief Introduction On Friday, February 25th, the SEC announced the release of proposed Rule changes to Short Sale Disclosures, Order Making Requirements,[...]
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SEC Releases
SEC Proposes First Cyber Rule for RIAs and Funds
February 09, 2022Brief Introduction On Wednesday, February 9th, the SEC released their Proposed Rule on Cybersecurity Risk Management and Amendments for Registered Investment[...]
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SEC Releases
Private Fund Adviser Deficiencies | EXAMS Risk Alert
January 28, 2022On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4[...]
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SEC Releases
Proposing to Amend Form PF | SEC Release
January 27, 2022On Wednesday, January 26th, the SEC announced that they voted on proposed amendments to enhance Private Fund Reporting. The goal of these proposed[...]
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