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.

 

Regulatory Impact on Smaller Firms | Bernadette Murphy Insights

August 31, 2023

Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment[...]

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Vigilant Shortlisted as Best ETF Regulatory/Compliance Adviser

August 28, 2023

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for the ETF Express US ETF[...]

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SEC Reopens Comment Period for RIA Safeguarding Rule

August 25, 2023

SEC Releases Brief Introduction Due to the new rules and amendments adopted on August 23rd, the SEC has reopened a 60-day comment[...]

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SEC Adopts Private Fund Rules

August 24, 2023

SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private[...]

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AI and Messaging Compliance | Michael Hogan Insights

August 23, 2023

Vigilant Insights Brief Introduction With the recent SEC charges of $289 million related to electronic recordkeeping failures, which increases the total fines ordered[...]

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First SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts

August 22, 2023

Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule.[...]

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Mistakes To Avoid When Choosing A Compliance Partner

August 18, 2023

Vigilant Insights Brief Introduction We’ve previously discussed how a Firm can address its need for a cost-effective compliance solution. There can[...]

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Why Due Diligence Is Crucial | Vigilant Insights

August 18, 2023

Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major[...]

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SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd

August 17, 2023

News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August[...]

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Conflicts of Interest and Predictive Data Analytics | Fred Teufel Reacts

August 16, 2023

Vigilant Insights Brief Introduction The SEC recently proposed a new rule related to conflicts of interest and predictive data analytics. The rule was met[...]

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Vigilant Celebrates 19 Years Of Compliance Excellence

August 15, 2023

Vigilant Thanks You For Your Support Over The Past 19 Years! Vigilant celebrates 19 successful years in business today, August 15th, 2023. Vigilant was[...]

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New Cybersecurity Rule Compliance Dates

August 11, 2023

News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement[...]

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