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.
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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SEC Chairman’s Agenda Has No Intention Of Stopping
May 03, 2023News and Alerts Brief Introduction SEC Chairman, Gary Gensler, discussed multiple topics in a recent interview with InvestmentNews. He addressed the growing number[...]
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Vigilant Monthly Newsletter | April 2023
May 02, 2023Monthly Newsletter In April, we saw SEC Releases and important insights from Vigilant. Below is a brief overview of what took[...]
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Reg BI | SEC Releases Bulletin for RIAs and BDs
April 27, 2023SEC Releases Brief Introduction Last week, the SEC released a bulletin explaining the standards of conduct for Registered Investment Advisers (“RIAs”) and Broker[...]
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SEC Chairman’s Congressional Testimony | Key Takeaways
April 24, 2023SEC Releases Brief Introduction On April 18th, SEC Chairman, Gary Gensler, gave testimony to the House of Representatives Committee on Financial Services.[...]
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SEC Charges Investment Adviser for Tax Service Misstatements
April 19, 2023SEC Releases Brief Introduction On April 18th, an Investment Advisory Firm was charged by the SEC for misstatements and omissions relating to its[...]
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Form PF Filings are Due at the End of the Month (April 30th, 2023)
April 17, 2023Vigilant Insights Brief Introduction SEC Registered Investment Advisers (“RIAs”) that manage Private Funds must file their Form PF by April 30th,[...]
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Vigilant Shortlisted for 3 Awards by Hedgeweek
April 14, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following 3 Awards below by Hedgeweek for their US Emerging[...]
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Firm Pays $20 Million for Improper Securities Trading
April 14, 2023SEC Releases Brief Introduction On April 3rd, a Firm and its Founder agreed to pay $19.3 million in disgorgement, interest, and civil penalties[...]
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SEC Commissioner Peirce Comments On SEC Agenda
April 05, 2023News & Alerts Brief Introduction SEC Commissioner Hester Peirce commented on a host of issues during a CFA Society of Washington’s[...]
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