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 Scrutiny of ESG Advertising | Maxwell Baker Insights
November 13, 2024VIGILANT INSIGHTS Introduction The SEC recently charged a Firm $17,500,000 for misleading statements about the role of ESG in their[...]
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RIC Risk Alert | Bernadette Murphy Insights
November 11, 2024VIGILANT INSIGHTS Introduction The SEC recently released a Risk Alert focusing on frequent deficiencies found during their examinations of Registered[...]
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Key Takeaways from the SEC Compliance Outreach Seminar
November 07, 2024SEC Releases Introduction Today, November 7th, the SEC just completed their National Compliance Program Outreach Seminar. There were opening remarks made by[...]
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Risk Alert Focused on RICs | Division of Examinations
November 06, 2024SEC RELEASES Introduction On November 4th, 2024, the Division of Examinations (EXAMS) released a risk alert for Registered Investment Companies[...]
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Vigilant Compliance Newsletter | October 2024
November 04, 2024Monthly Newsletter In October, we saw a good blend of Vigilant Insights and SEC Releases content, as well as a Vigilant Announcement too.[...]
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AI Oversight is Lacking for Firms | Maxwell Baker Insights
November 03, 2024Vigilant Insights Introduction A recent survey that will be released in November reveals that although a majority of Financial Service[...]
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2025 Examination Priorities | Maxwell Baker Insights
November 01, 2024VIGILANT INSIGHTS Introduction With the 2025 SEC exam priorities released last week, compliance professionals are analyzing their programs to ensure that they meet[...]
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Cybersecurity Demand Increases for Pension Funds | Laura Arnott Insights
October 30, 2024VIGILANT INSIGHTS Introduction Cybersecurity continues to be a focus area for the SEC and the rest of the Financial Services[...]
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Fund Misstatements Lead to $4 Million SEC Charge
October 23, 2024SEC Releases Introduction On October 21st, the SEC announced a $4 Million Charge to a NY RIA for compliance failures and making misstatements.[...]
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2025 Division of Examinations Exam Priorities
October 21, 2024SEC Releases Introduction On October 21st, 2024, the Division of Examinations (EXAMS) released their 2025 Examination Priorities. There is detailed coverage[...]
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Misleading AI Marketing Statements | $523k SEC Charge
October 17, 2024SEC RELEASES Introduction On October 10th, the SEC announced charges against a Firm and its controlling members for their use[...]
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Vigilant Becomes Three (3) Time Hedgeweek Award Winners!
October 11, 2024Vigilant Announcements (Vigilant Becomes Three (3) Time Hedgeweek Award Winners) For the third year in a row, Vigilant was awarded as the[...]
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