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.
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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Regulatory Impact on Smaller Firms | Bernadette Murphy Insights
August 31, 2023Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment[...]
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Vigilant Shortlisted as Best ETF Regulatory/Compliance Adviser
August 28, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for the ETF Express US ETF[...]
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SEC Reopens Comment Period for RIA Safeguarding Rule
August 25, 2023SEC Releases Brief Introduction Due to the new rules and amendments adopted on August 23rd, the SEC has reopened a 60-day comment[...]
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SEC Adopts Private Fund Rules
August 24, 2023SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private[...]
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AI and Messaging Compliance | Michael Hogan Insights
August 23, 2023Vigilant Insights Brief Introduction With the recent SEC charges of $289 million related to electronic recordkeeping failures, which increases the total fines ordered[...]
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First SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts
August 22, 2023Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule.[...]
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Mistakes To Avoid When Choosing A Compliance Partner
August 18, 2023Vigilant Insights Brief Introduction We’ve previously discussed how a Firm can address its need for a cost-effective compliance solution. There can[...]
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Why Due Diligence Is Crucial | Vigilant Insights
August 18, 2023Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major[...]
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SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd
August 17, 2023News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August[...]
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