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 and FinCEN Propose New Rule for Customer Identification Program
May 20, 2024SEC RELEASES Introduction On May 13th, the SEC and FinCEN issued a joint proposal for customer identification program obligations to[...]
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SEC Adopts Amendments to Regulation S-P
May 16, 2024SEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These[...]
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The Marketing Rule and the Public Good | Gary Gensler Takeaways
May 15, 2024SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into[...]
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Dangers of Social Media Influencers | Thayne Gould Reacts
May 10, 2024VIGILANT INSIGHTS Introduction As the Marketing Rule continues to be a major topic for enforcement in 2024, it would be[...]
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Vigilant Compliance Newsletter | April 2024
May 02, 2024Monthly Newsletter In April, we saw Vigilant Insights, SEC Charges, SEC Releases, and a FINRA Fine. Below is a brief overview of what[...]
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Director of Enforcement Division Talks AI | Key Takeaways
April 30, 2024SEC RELEASES Introduction Artificial Intelligence (“AI”) continues to grab the attention of regulators that are trying to stay ahead of[...]
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SEC Marketing Rule Risk Alert | Thayne Gould Reacts
April 23, 2024Vigilant Insights Introduction The SEC has sent out its third risk alert related to the Marketing Rule. With the most recent enforcement activity occurring this[...]
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Fiduciary Duty and FINRA Enforcement | Patrick Chism Insights
April 22, 2024Vigilant Insights Introduction Vigilant Managing Director, Patrick Chism, was quoted in a recent Ignites article related to the FINRA investigation of a Firm for[...]
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“SEC Speaks 2024” Key Takeaways
April 21, 2024SEC Releases Introduction Recently, the SEC Chair, multiple Commissioners, and Directors gave their opinions about the state of the regulatory environment. Some notable[...]
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SEC Risk Alert | Marketing Rule Compliance
April 18, 2024SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April[...]
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RIA Pay-To-Play Violation Involving a Campaign Contribution
April 17, 2024SEC Releases Introduction On April 15, 2024, the SEC announced an RIA violated the Pay-To-Play Rule by continuing to receive compensation from a government[...]
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SEC Marketing Rule Violations | 5 RIAs Charged
April 12, 2024SEC Releases Introduction The SEC announced on Friday, April 12th, that they have charged five (5) Registered Investment Advisers (“RIAs”) for[...]
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