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.
How can a Dual Hat CCO Benefit from a Compliance Consultant?
February 20, 2025Vigilant Insights Introduction Dual Hatted Chief Compliance Officers (“CCOs”) face unique challenges, which makes Outsourced Compliance Support particularly valuable for them. As[...]
Read Article
RIA Charged for Breaching Fiduciary Duty
February 18, 2025SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving[...]
Read Article
Unlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role
February 13, 2025Vigilant Insights Introduction For SEC Registered Investment Advisers (“RIAs”), maintaining compliance with ever-evolving regulatory requirements is crucial to avoid potential penalties[...]
Read Article
Is Deepseek AI Safe to Use? | Chuck Martin Insights
February 11, 2025VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with[...]
Read Article
How to Navigate Private Fund Compliance in 2025?
February 06, 2025VIGILANT INSIGHTS Introduction This past year had Private Fund Compliance Programs on a heightened sense of awareness. Private Fund rules[...]
Read Article
Vigilant Compliance Newsletter | January 2025
February 02, 2025Monthly Newsletter Printer Friendly Version In January, there were important releases that contained both Vigilant Insights and SEC Releases content. There was also[...]
Read Article
Adapting to the New Regulatory Landscape | Chuck Martin Insights
January 31, 2025VIGILANT INSIGHTS Introduction The SEC recently announced a record number of enforcements for Q1 of FY 2025. The announcement occurred[...]
Read Article
Form PF Amendments Compliance Date Extension
January 30, 2025SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form[...]
Read Article
Disclosure Errors for Registered Funds | Liam Clarke Insights
January 29, 2025Vigilant Insights Introduction The SEC’s Investment Management Unit reported this month (January 2025) that many ETFs, Mutual Funds, and Money[...]
Read Article
Misleading Cybersecurity Disclosure Leads to SEC Charges
January 26, 2025SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading[...]
Read Article
SEC’s Anticipated Regulatory Outlook | Chuck Martin Insights
January 24, 2025Vigilant Insights Introduction The SEC started off their Fiscal Year with a record number of enforcement actions. As the industry anticipates[...]
Read Article
Improper Private Fund Expenses | Managers and Owner Charged
January 22, 2025SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to[...]
Read Article