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.
Key Takeaways from House Committee Letter to SEC Chairman
July 12, 2023NEWS AND ALERTS Brief Introduction On June 28th, the House Financial Services Committee sent a letter to SEC Chairman, Gary[...]
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RIAs Understand the Importance of Compliance to Their Success
July 11, 2023NEWS AND ALERTS Brief Introduction In a recent article by InvestmentNews, RIAs throughout the industry report on the importance of[...]
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Vigilant Shortlisted as Best Advisory Firm – Regulation and Compliance for 2023
July 10, 2023Vigilant Announcements Building off of our recent Awards Win in the Hedge Fund Industry, Vigilant is thrilled to announce that[...]
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Vigilant Monthly Newsletter | June 2023
July 05, 2023Monthly Newsletter In June, we saw SEC Releases and Charges, Vigilant Insights and Announcements, and News and Alerts throughout the Industry.[...]
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Preparing for ESG Regulation
June 29, 2023Vigilant Insights Brief Introduction As the SEC continues to focus on enforcement related to ESG, Firms should take the necessary[...]
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IAA Argues Against SEC Proposals
June 28, 2023NEWS AND ALERTS Brief Introduction The Investment Adviser Association (“IAA”) has publicized their disagreement with four SEC proposals regarding investment advisers. The proposals[...]
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AI Use for Private Equity Firms remains Questionable
June 27, 2023News and Alerts Brief Introduction Compliance officers of Private Equity Funds have generally taken a cautious approach to allowing employees[...]
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Marketing Rule Risk Alert | Donna DiMaria Reacts (ETF Express)
June 22, 2023Vigilant Insights Vigilant’s own, Donna DiMaria, was spotlighted by ETF Express providing insights on the recent SEC Risk Alert on the Marketing Rule. As someone who[...]
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Private Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging
June 21, 2023SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts[...]
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SEC Places 37 New Rules in Final Stage as part of its Spring Agenda
June 20, 2023SEC Releases Brief Introduction The SEC has announced its Spring 2023 Regulatory Agenda. SEC Chairman, Gary Gensler, explains the regulatory goals as focusing on[...]
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New SEC Risk Alert on the Marketing Rule
June 12, 2023SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when[...]
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Vigilant Selected as Best Outsourced Solution and Best Regulatory Advisory & Compliance Firm
June 09, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been selected as the Best Outsourced Solution and Best Regulatory Advisory & Compliance Firm[...]
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