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 Amendments to Form 13F Are Now in Effect
January 31, 2023Vigilant Insights Brief Introduction The amendments for Form 13F announced in June 2022 have taken effect January 3rd, 2023. The SEC made these amendments[...]
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Firm Charged $5 Million for Misleading Disclosures
January 30, 2023SEC Releases Brief Introduction On January 23rd, the SEC charged a firm five million dollars for misleading disclosures. The firm provided a subscription[...]
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SEC Plans to Finalize Multiple Proposed Rules for 2023
January 25, 2023Vigilant Insights Brief Introduction The SEC proposed twenty-four rules in 2022. According to recent announcement, the rules are expected to be[...]
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“On The Fly Compliance” Will No Longer Fly With Current Regulatory Environment
January 19, 2023Vigilant Insights Brief Introduction The SEC charged close to $6.4 billion to firms and individuals in 2022, a record setting number.[...]
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FINRA Releases 2023 Risk Monitoring Report | 4 Key Topics
January 18, 2023News & Alerts Brief Introduction On January 10th, FINRA published a report for 2023 to help firms strengthen their compliance programs. The report[...]
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SEC May Be Accelerating Their Regulatory Agenda For 2023
January 13, 2023Vigilant Insights Brief Introduction In 2022, multiple SEC announcements made waves throughout the Industry. There is concern that the SEC’s regulatory agenda for 2023 may[...]
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SEC Updates Marketing Rule FAQs
January 12, 2023SEC Releases On January 11th, the SEC released updated Marketing Rule FAQs. See below for key takeaways. Key Takeaways from[...]
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SEC Attempts to add Climate Risk to the Regulatory Environment
January 10, 2023Vigilant Insights Brief Introduction As part of the twenty-six new rules announced in the first eight months of 2022, the SEC[...]
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Portfolio Manager Fined $250,000 for Undisclosed Conflict of Interest
January 10, 2023SEC Releases Brief Introduction On January 5th, the SEC charged a Portfolio Manager $250,000 for failing to disclose a conflict of[...]
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Three Areas The SEC Could Increase Private Equity Scrutiny in 2023
January 06, 2023Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023.[...]
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FINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures
January 04, 2023News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping[...]
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Vigilant 2023 Compliance Calendar
December 28, 2022Vigilant Insights As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2023 Regulatory Filings Calendar, which[...]
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