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.
11 Firms Charged by the SEC for Recordkeeping Failures
August 08, 2023SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with[...]
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18 Compliance Trends Discovered by Vigilant in 2023
August 07, 2023Vigilant Insights Brief Introduction As we proceed into the “half way” point entering Q3 2023, it is important to examine and[...]
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Off-Channel Communication Still a Major Regulatory Focus
August 02, 2023NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related[...]
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Vigilant Monthly Newsletter | July 2023
August 01, 2023Monthly Newsletter In July, we saw SEC Releases, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is[...]
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New Rule Adopted by SEC, Along with Two Proposals
July 28, 2023SEC RELEASES Brief Introduction On July 26th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident[...]
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Private Equity Wire US Awards 2023 | Vigilant Shortlisted
July 26, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for our third award in the past two weeks as[...]
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SEC Will Increase Examiners With Budget Increase
July 24, 2023NEWS AND ALERTS Brief Introduction SEC Chairman, Gary Gensler, spoke with senators last week about his plans for the $194[...]
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Vigilant Shortlisted for 2 Awards | Hedgeweek US Awards 2023
July 19, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the (1) Best Regulatory Advisory & Compliance Firm and (2) Best Outsourced Solution for[...]
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Maintaining Messaging Compliance (Electronic Communications)
July 18, 2023VIGILANT INSIGHTS Brief Introduction Failures in messaging compliance can be costly. In the fall of 2022, Firms were fined over[...]
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High Demand for Mock Exams
July 17, 2023NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule[...]
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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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