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.
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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SEC Hires 100+ Staff, Is Your Firm Prepared?
April 05, 2023Vigilant Insights Brief Introduction The SEC is looking to hire over 100 additional staff members for its enforcement division, and[...]
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SEC Investigations Related to Messaging Apps | Maxwell Baker Reacts
April 04, 2023Vigilant Insights Vigilant’s own, Maxwell Baker, Esq., was quoted in InvestmentNews related to the SEC’s continued investigations into the use of messaging[...]
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Vigilant Monthly Newsletter | March 2023
March 31, 2023Monthly Newsletter In March, we saw SEC Releases and Proposed Rules, as well as important insights from Vigilant. Below is a[...]
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SEC Releases Risk Alert for Newly Registered Advisers
March 30, 2023SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during[...]
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Firms may Struggle to meet SEC Compliance Deadlines
March 27, 2023News and Alerts Brief Introduction As the SEC pushes to finalize over twenty rules and amendments in 2023. Firms with limited resources[...]
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