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 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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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.[...]
Read Article
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.[...]
Read Article