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 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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Vigilant Compliance Newsletter | June 2024
July 07, 2024Monthly Newsletter In June, we saw Vigilant Insights, SEC Charges and SEC Releases. Below is a brief overview of what took[...]
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Outsourced Compliance Considerations | Chuck Martin Insights
July 02, 2024Vigilant Insights Introduction As Firms continue to commit more time and resources to compliance, many choose to partner with compliance[...]
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Vigilant Shortlisted for Hedge Fund Compliance Award
July 01, 2024Vigilant Announcements Building off of our With Intelligence Operations & Services Award Win earlier this year, Vigilant is thrilled to announce that we[...]
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Compliance Risks from Political Contributions | Donna DiMaria Insights
June 25, 2024VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year.[...]
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Firms Struggling with the Marketing Rule | Will Clark Insights
June 24, 2024VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private[...]
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Cybersecurity Violations Result in $2.1 Million Penalty
June 19, 2024SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control[...]
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SEC Chair and Commissioners Discuss AI | SEC Releases
June 14, 2024SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient[...]
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Risk Alert on Broker Dealer Examinations
June 07, 2024SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers.[...]
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