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.
5 Rising Topics in the Compliance Industry | 2023
June 06, 2023Vigilant Insights Brief Introduction In an increasingly dynamic regulatory environment, finding financial success for your Firm without also finding compliance[...]
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Reg BI May Be A Major Source Of Future Enforcement Action
June 05, 2023Vigilant Insights Brief Introduction Under Regulation BI (“Reg BI”), Firms are expected to act in the best interests of their customers.[...]
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Vigilant Monthly Newsletter | May 2023
June 02, 2023Monthly Newsletter In May, we saw SEC/FINRA Releases and News and Alerts throughout the Industry. Below is a brief overview[...]
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Private Fund Compliance Failures Bring SEC Charges for RIA
June 01, 2023SEC Releases Brief Introduction A New York RIA was charged $275,000 by the SEC on May 24th for Compliance failures related to their valuation of Private Funds.[...]
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ESG Issues Remain Major Focus for SEC Investigations
May 25, 2023News and Alerts Brief Introduction The SEC has yet to finalize their proposals related to ESG disclosure. However, Firms that advertise ESG in[...]
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Cybersecurity Investor Protection | SEC Commissioner Update
May 23, 2023SEC Releases Brief Introduction SEC Commissioner, Jaime Lizarrage, spoke at the Digital Directs Network on May 16th. He discussed how the SEC is[...]
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FINRA Expels First Broker Dealer Under Regulation BI
May 18, 2023FINRA Brief Introduction A New York Firm was expelled by FINRA on May 12th related to multiple Regulation BI violations.[...]
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SEC Continues Heightened Focus on Recordkeeping Failures
May 12, 2023SEC Releases Brief Introduction On May 11th, two Broker Dealer Firms were charged by the SEC for “widespread and longstanding failures” relating[...]
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SEC Marketing Rule Enforcements Appear Inevitable
May 11, 2023News and Alerts Brief Introduction The SEC Marketing Rule has been in full effect with a compliance date of November 4th, 2022.[...]
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First Charges Ever Filed by the SEC for Liquidity Requirement Violations
May 08, 2023SEC Releases Brief Introduction On May 5th, the SEC charged a Firm $476,000 in disgorgement and civil penalties for aiding and abetting Liquidity[...]
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Gensler Defends SEC Private Fund Proposals at MFA Forum
May 05, 2023News and Alerts Brief Introduction SEC Chairman, Gary Gensler, spoke in front of the Managed Funds Association (“MFA”) about the reasoning[...]
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SEC Adopts Amendments to Form PF
May 04, 2023SEC Releases Brief Introduction As “hinted” by SEC Chairman, Gary Gensler, at the MFA Conference recently, the SEC announced on[...]
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