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.
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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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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