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.
Misleading AI Statements | Fred Teufel Reacts
April 11, 2024Vigilant Insights Introduction The SEC announced last month that two (2) Investment Advisers were charged $400,000 for misleading statements related[...]
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Recordkeeping and Code of Ethics Failures | $6.5 Million RIA Fine
April 09, 2024SEC RELEASES Introduction On April 3rd, the SEC announced charges against a Registered Investment Adviser (“RIA”) for “widespread and longstanding[...]
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Vigilant Compliance Newsletter | March 2024
April 07, 2024Monthly Newsletter In March, we saw SEC Charges, SEC Statements, and Vigilant Announcements. Below is a brief overview of what took[...]
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First FINRA Fine for Use of Social Media Influencers
April 05, 2024FINRA Introduction FINRA recently announced its first enforcement action related to the use of Social Media Influencers. This stems from[...]
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SEC Adopts Amendments Affecting Internet Investment Advisers
April 03, 2024SEC Releases Introduction The SEC adopted amendments that affect the way Internet Investment Advisers register, particularly with small Investment Advisers. Although the different potential rule[...]
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Vigilant Shortlisted | Hedgeweek US Emerging Manager Awards
March 28, 2024Vigilant Announcements After being selected for 2 Awards last year by Hedgeweek for their US Emerging Manager Awards, Vigilant is thrilled to announce that we[...]
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Mandatory Disclosures | Gensler Discusses at Columbia Law
March 26, 2024SEC RELEASES Introduction On March 22nd, SEC Chair, Gary Gensler, spoke at a Columbia Law School conference. He discussed the[...]
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Misleading AI Statements | SEC Charges Two Firms
March 19, 2024SEC Releases Introduction On March 18th, the SEC announced charges against two Investment Advisers. Both Firms were found to have made false and[...]
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SEC Commissioner, Mark Uyeda, Discusses the Administrative State
March 14, 2024SEC Releases Introduction SEC Commissioner, Mark Uyeda, recently addressed the Council of Institutional Investors on the administrative state. He voiced[...]
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Vigilant Shortlisted as Finalist for The Drawdown Awards
March 12, 2024Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance for[...]
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Climate-Related Disclosures | SEC Adopts Rules
March 08, 2024SEC Releases Introduction The SEC announced on March 6th, 2024, that final rules have been adopted that require Firms to provide disclosures[...]
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SEC Charges Firm $950k for Disclosure Failures
March 05, 2024SEC Releases Introduction The SEC charged an Investment Adviser with disclosure failures related to required 13G and 13D Filings. Failures to submit timely[...]
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