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.
Reg BI Violations | Broker Suspended
January 29, 2024News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were[...]
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SEC Adopts Rules Relating to SPACs, Shell Companies, and Projections
January 25, 2024SEC Releases Introduction On January 24th, the SEC adopted final rules and amendments to enhance disclosures and provide additional investor protections in initial public[...]
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A Partnership Driven Compliance Provider | Vigilant
January 24, 2024Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why[...]
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Potential 2024 SEC Rule Adoptions
January 20, 2024Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is[...]
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7 Effective Compliance Strategies for 2024
January 16, 2024Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong[...]
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Electronic Communication Recordkeeping and SEC Enforcements
January 12, 2024Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have[...]
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Top SEC Releases and Vigilant Insights from 2023
January 10, 2024Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024,[...]
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How to Prepare for an SEC Examination | Vigilant Insights
January 09, 2024Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of[...]
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Private Equity Adviser Charged $4 Million for Compliance Failures
January 04, 2024SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related[...]
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AI Risks for Institutional Investors | Fred Teufel Insights
January 02, 2024Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA,[...]
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Vigilant Compliance Newsletter | December 2023
December 27, 2023Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what[...]
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Rule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ
December 21, 2023Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5[...]
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