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 Chairman Update On Cybersecurity And Securities Laws
January 24, 2022On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating[...]
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SEC Releases
Staff Statement Regarding Form CRS Disclosures for 2022
January 06, 2022Staff Statement Regarding Form CRS Disclosures for 2022 | SEC Releases As the new year begins, the SEC released a statement regarding[...]
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SEC Releases
$4.5 Million Fine for Fee and Expense Disclosures | SEC Releases
December 23, 2021Fee and Expense Disclosure Failures | SEC Releases On Monday, December 20th, the SEC released an Order announcing that they charged an RIA[...]
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SEC Releases
Multiple Deficiencies Found Relating to Advisers’ Fee Calculations
November 11, 2021SEC Releases | Risk Alert The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 10th, concluding that the Division[...]
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SEC Releases
Risk Alert | “Division” Examines Advisers Providing Electronic Investment Advice
November 10, 2021SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday,[...]
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SEC Releases
Risk Alert | RIC Initiatives Examined by the “Division”
October 26, 2021Observations from Examinations in the Registered Investment Company Initiatives October 26, 2021 Summary: Focus: The SEC examined more than[...]
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SEC Releases
SEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act
October 14, 2021SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act Regal Investment[...]
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SEC Releases
SEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024
September 17, 2021SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need[...]
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SEC Releases
SEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures
August 30, 2021SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions[...]
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SEC Releases
SEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO
August 24, 2021SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and[...]
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SEC Releases
SEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors
August 18, 2021SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with[...]
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SEC Releases
Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs
July 28, 2021Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs |[...]
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