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.
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
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
$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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article