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.
SEC Continues to Investigate Recordkeeping Practices
March 08, 2023News & Alerts Brief Introduction It was announced that multiple Firms (Blackrock, Blackstone, Stifel, Citadel, Point72, Wells Fargo, SG Americas[...]
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Repeat Violations by Advisors’ Parents | Fred Teufel Reacts
March 03, 2023Vigilant Insights Vigilant’s Director and Industry Veteran, Fred Teufel, was quoted in BoardIQ on repeat violations by Advisors’ Parents, which is causing[...]
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Vigilant Monthly Newsletter | February 2023
March 01, 2023Monthly Newsletter In February, we saw SEC Releases and Charges, as well as important insights from Vigilant. Below is a brief[...]
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Private Equity Consultant Charged with Insider Trading
February 28, 2023SEC Releases Brief Introduction The SEC charged a former consultant for a Private Equity Firm, and his close friend, with insider trading on[...]
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In Need of a Cost-Effective Compliance Solution?
February 24, 2023Vigilant Insights Who Is This Applicable To? Registered Investment Advisers (“RIAs”) Mutual Funds Exchange Traded Funds (“ETFs”) Broker Dealers Firms[...]
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SEC Charges Investment Advisory Firm For Trading Violations
February 22, 2023SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve[...]
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SEC Finalizes Rule Changes for Settlement Cycles
February 17, 2023SEC Releases Brief Synopsis On February 15th, the SEC formally adopted rule changes to reduce the settlement cycle for most Broker Dealer transactions.[...]
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Signs Your Firm May Not Be SEC or FINRA Compliant
February 17, 2023From archiving your business’s communication records to filing quarterly and annual reports, you must take several steps to ensure your[...]
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New SEC Proposed Rule | RIA Protection of Customer Assets
February 16, 2023SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February[...]
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SEC May Change Climate Risk Disclosure Requirements | Industry Pushback
February 10, 2023News & Alerts Brief Introduction In 2022, the SEC proposed new disclosure requirements related to climate change risk for firms. They argue[...]
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Firm Fines Employees for Unauthorized Whatsapp Use
February 09, 2023News & Alerts Brief Introduction A well known large firm recently issued fines of up to $1 Million to some of its[...]
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SEC Division of Examinations Releases 2023 Priorities | 7 Takeaways
February 08, 2023SEC Releases Brief Introduction On February 7th, the SEC Division of Examinations announced its priorities for 2023. This contains a significant number[...]
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