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 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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Prepare for More On-Site SEC Exams in 2023
March 24, 2023News and Alerts Brief Introduction The Deputy Director of the SEC Division of Examinations has verbalized the intention to significantly increase the number[...]
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SEC Increase On Recordkeeping For Exams | Brian Dillon’s Insights
March 22, 2023Vigilant Insights Vigilant’s Director, Brian Dillon, was quoted in a Board IQ article regarding recent examination document production requests from the SEC related to the[...]
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SEC Proposes Amendments to Regulation S-P
March 19, 2023SEC Releases Brief Introduction On March 15th, the SEC proposed new changes to Regulation S-P . Their goal is to enhance the protection of customer[...]
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SEC Reopens Comment Period for Proposed Cybersecurity Rule
March 17, 2023SEC Releases On March 15th, the SEC chose to reopen the comment period on the Proposed Cyber Rule for cybersecurity risk management[...]
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