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.
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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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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