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.
Importance of Proactive Compliance | SEC’s Gurbir Grewal Reacts
November 02, 2023SEC Releases Brief Introduction On October 24th, SEC Director of the Division of Enforcement, Gurbir Grewal, spoke to the New York City Bar[...]
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SEC Chair, Gary Gensler, Fiscal Year 2023 Takeaways
October 31, 2023SEC Releases Brief Introduction On October 25th, SEC Chair, Gary Gensler, spoke at the 2023 Securities Enforcement Forum. Labeling the SEC as “partners of[...]
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Vigilant Awarded as Best Regulatory Advisory & Compliance Firm
October 26, 2023Vigilant Announcements (Vigilant Becomes Back-to-Back Hedgeweek US Award Winner) Vigilant is thrilled to announce that we have been awarded for the[...]
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Commissioner Uyeda Key Takeaways from the NSCP Conference
October 26, 2023SEC Releases Introduction SEC Commissioner, Mark Uyeda, spoke at the National Society of Compliance Professionals (“NSCP”) Conference recently about various topics. Although[...]
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2024 SEC Division of Examinations Priorities | Key Takeaways
October 17, 2023SEC Releases Introduction On Monday, October 16th, the SEC Division of Examinations released their examination priorities for 2024. To no surprise,[...]
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Preparation Required for New Cybersecurity Rules
October 13, 2023Vigilant Insights Brief Introduction In a recent Deloitte Survey, 26% of Firms surveyed have not prepared for the new SEC cybersecurity rules. With[...]
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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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