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.
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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5 Rules Released by the SEC Makes Waves for the Industry
December 15, 2022SEC Releases Brief Introduction On December 14th, the SEC provided one adopted amendment, two proposed amendments, and two proposed rules. The[...]
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New SEC Rules to be Aware of for 2023
December 14, 2022Vigilant Insights Brief Introduction Four important SEC rules were discussed during the National Compliance Seminar last month. Two have already been[...]
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RIA Censured for Compliance Failures | SEC Fines
December 13, 2022SEC Releases Brief Introduction A Registered Investment Adviser was censured and fined $75,000, and its CEO/CCO was fined $25,000, after multiple compliance[...]
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Firms Investing More in Compliance to Reduce Regulatory Headaches
December 07, 2022Vigilant Insights Brief Introduction In light of recent SEC charges, including the charges against firms for failing to monitor and record[...]
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SEC Risk Alert for Identity Theft Under Regulation S-ID
December 06, 2022SEC Releases Brief Introduction The SEC published a risk alert on December 5th related to Regulation S-ID after recent Compliance Examinations of Investment Advisers[...]
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Vigilant Shortlisted as Best Compliance Advisory Firm for 2023
November 30, 2022Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations &[...]
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SEC Announces Strategic Plan for 2022-2026
November 29, 2022SEC Releases Brief Introduction The SEC published a 16-page document highlighting their strategic plan for 2022 through 2026. In addition to[...]
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SEC Charges $4 Million Over Investments Misrepresented as ESG
November 23, 2022SEC Releases Brief Introduction On November 22nd 2022, the SEC charged a major investment firm $4 Million dollars in relation to their management[...]
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Moving to a Proactive Compliance Approach | Vigilant Insights
November 21, 2022Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President[...]
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