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.
Vigilant Compliance Newsletter | January 2024
February 02, 2024Monthly Newsletter In January, we saw multiple Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a[...]
Read ArticleVigilant 2024 Compliance Calendar | Download Here
January 29, 2024Vigilant Insights Introduction As you continue to prepare for the new year, be sure to check out Vigilant’s 2024 Regulatory Filings Calendar, which[...]
Read ArticleReg BI Violations | Broker Suspended
January 29, 2024News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were[...]
Read ArticleSEC Adopts Rules Relating to SPACs, Shell Companies, and Projections
January 25, 2024SEC Releases Introduction On January 24th, the SEC adopted final rules and amendments to enhance disclosures and provide additional investor protections in initial public[...]
Read ArticleA Partnership Driven Compliance Provider | Vigilant
January 24, 2024Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why[...]
Read ArticlePotential 2024 SEC Rule Adoptions
January 20, 2024Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is[...]
Read Article7 Effective Compliance Strategies for 2024
January 16, 2024Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong[...]
Read ArticleElectronic Communication Recordkeeping and SEC Enforcements
January 12, 2024Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have[...]
Read ArticleTop SEC Releases and Vigilant Insights from 2023
January 10, 2024Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024,[...]
Read ArticleHow to Prepare for an SEC Examination | Vigilant Insights
January 09, 2024Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of[...]
Read ArticlePrivate Equity Adviser Charged $4 Million for Compliance Failures
January 04, 2024SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related[...]
Read ArticleAI Risks for Institutional Investors | Fred Teufel Insights
January 02, 2024Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA,[...]
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