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 Continues Sweep for AI | Chuck Martin Insights on FundFire
December 18, 2023Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to[...]
Read Article
Vigilant Shortlisted as Best Compliance Advisory Firm for 2024
December 15, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations &[...]
Read Article
Private Funds Forced to Adapt to Ongoing SEC Regulations
December 15, 2023News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the[...]
Read Article
Vigilant Awarded as Best Regulatory & Compliance Adviser
December 11, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been awarded as the 2023 Best Regulatory & Compliance Adviser[...]
Read Article
SEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ
December 11, 2023Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With[...]
Read Article
Increased Compliance Investments Indicated by Survey
December 07, 2023News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our[...]
Read Article
AI and SEC Exams – Fred Teufel and CJ Schaible Insights
December 04, 2023Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected[...]
Read Article
FINRA Projected Performance Proposal | Thayne Gould Insights
November 30, 2023Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain[...]
Read Article
SEC Exams Heightened Focus on Tech | Fred Teufel Insights
November 29, 2023Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and[...]
Read Article
SEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights
November 26, 2023Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in[...]
Read Article
How to Start an ETF | In-Person Event
November 26, 2023Vigilant Events Register Here for the In-Person Event In-Person Event Details Date and Time: Tuesday, November 28th, from 11:00 AM[...]
Read Article
Best Practices for Keeping your RIA Compliant
November 19, 2023Vigilant Insights Introduction There is a significant amount of regulatory requirements as a Registered Investment Adviser (“RIA”). Requirements which include a breadth[...]
Read Article