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.
Material Misstatements Lead to SEC Charge | Marketing Rule
September 26, 2023SEC Releases Brief Introduction The SEC remains active towards the Marketing Rule and has charged another Registered Investment Adviser (“RIA”) with violations[...]
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Private Equity Infrastructure RIA Charged for Breach of Duty
September 25, 2023SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty[...]
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Impact on Fund Names | SEC Adopts Rule Amendments
September 21, 2023SEC Releases Brief Introduction On September 20th, the SEC adopted Rule enhancements to prevent misleading or deceptive Investment Fund Names. The main focus by[...]
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Private Equity Firms Should Consider Outsourced Compliance
September 19, 2023Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their[...]
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RIA Charged by the SEC for Repeat Compliance Failures
September 18, 2023SEC Releases Brief Introduction A New York-based RIA was charged by the SEC for failing to adopt and implement written compliance policies and[...]
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New Private Fund Rule Compliance Date
September 15, 2023News and Alerts Effective Date Now Set for the Private Fund Rule The SEC recently adopted the new Private Fund Rule for Private[...]
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Misleading Disclosures Related to Information Barriers
September 14, 2023SEC Releases Brief Introduction The SEC has filed charges in U.S. District Court against a Firm and their Parent Company for allegedly making materially[...]
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Feeling “Overwhelmed” by Marketing Review | Vigilant Solutions
September 13, 2023Vigilant Insights Brief Introduction The SEC has recently released a Risk Alert describing the large amount of documents typically requested during SEC Examinations.[...]
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9 Marketing Rule Violations | SEC Charges
September 12, 2023SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule.[...]
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Risk Alert for Investment Advisers | SEC Releases
September 07, 2023SEC Releases Brief Introduction The SEC Division of Examinations (“Division” or “EXAMS”) recently published a Risk Alert to give additional information about the Risk-Based Approach the[...]
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5 Advisory Firms Charged for Custody Rule Violations
September 06, 2023SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with[...]
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Vigilant Monthly Newsletter | August 2023
September 04, 2023Vigilant Monthly Newsletter | August 2023 In August, we saw many Insights directly from the Vigilant Team, SEC New Rules and Releases,[...]
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