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.
Duty of Care and Disclosure Violations | $1.3 Million SEC Charge
October 13, 2023SEC Releases Introduction On October 10th, the SEC charged an RIA for breaching its fiduciary duties. The Firm failed to properly disclosure[...]
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ETF Class | Salvatore Faia (President & CEO) Insights
October 12, 2023Vigilant Insights Introduction Dimensional Fund Advisors has a pending application with the SEC with the hope of expanding the exemptive relief that Vanguard had previously[...]
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Modernization of Beneficial Ownership Reporting | SEC Adopts Rule Amendments
October 12, 2023SEC Releases Brief Introduction On October 10th, the SEC adopted rule amendments related to beneficial ownership reporting requirements. The amendments to Section 13(d) and[...]
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Recent Marketing Rule Enforcements | Thayne Gould Reacts
October 09, 2023Vigilant Insights Brief Introduction The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance. These charges[...]
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Major Overhaul of Resources for AI Proposal | Fred Teufel Insights
October 09, 2023Vigilant Insights Brief Introduction The SEC’s rule proposal related to artificial intelligence (“AI”) and data analysis has made waves in the Registered Investment[...]
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Unregistered Broker Activities | RIA Charged $821 Thousand
October 09, 2023SEC Releases Brief Introduction An investment adviser was charged in September by the SEC for accepting compensation for brokerage services for its advisory[...]
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Marketing Rule Sweeps | Bernadette Murphy Insights
October 09, 2023Vigilant Insights Brief Introduction As the SEC continues to announce violations related to the Marketing Rule, Firms are understandably worried about their performance if[...]
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Interval Fund Faces Valuation Issues | Fred Teufel Reacts
October 05, 2023Vigilant Insights Brief Introduction Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in an Ignites article recently discussing a request made to[...]
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Vigilant Shortlisted as Best Regulatory & Compliance Adviser
October 04, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory & Compliance Adviser for the Institutional Asset Manager[...]
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Importance of Maintaining Records of Communications | Will Clark Insights
October 03, 2023Vigilant Insights Off-channel communication violations continue to be a costly compliance mistake in the securities industry. Almost $549 million in fines have been handed out[...]
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Vigilant Compliance Newsletter | September 2023
October 03, 2023Monthly Newsletter In September, we saw SEC Charges, new Adopted Rules, and Insights from Vigilant. Below is a brief overview of what took[...]
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10 Firms Charged $79 Million for Recordkeeping Failures
October 02, 2023SEC Releases Brief Introduction The SEC announced multiple charges on Friday, September 29th, for violations of recordkeeping requirements. The following type of Firms[...]
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