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 Monthly Newsletter | October 2022
November 08, 2022Vigilant Monthly Newsletter In October, we saw important SEC releases, a proposed rule, an adopted rule, and charges, as well as[...]
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New SEC Proposal | Focus on Open-End Fund Liquidity
November 07, 2022SEC Releases Brief Introduction On November 2nd, the SEC voted to propose amendments with the goal of preparing Open-Ended Funds for[...]
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SEC Adopts Rules to Enhance Proxy Voting Disclosure
November 02, 2022SEC Releases Brief Introduction The SEC announced Today, November 2nd, that they have adopted Amendments to Form N-PX. This will enhance the proxy[...]
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How Outsourced Compliance Could Benefit Your Firm
November 01, 2022Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their[...]
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SEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts
October 31, 2022Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act[...]
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Vigilant Selected as Best Regulatory Advisory & Compliance Firm
October 28, 2022Vigilant Announcements Vigilant is thrilled to announce that we have been selected as the Best Regulatory Advisory & Compliance Firm by[...]
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SEC Proposes Rule for Outsourcing by Investment Advisers
October 27, 2022SEC Releases Overview: Proposed Rule 206(4)-11 – Service Provider Oversight On October 27, 2022, the Securities and Exchange Commission (“SEC”)[...]
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7 Tips To Build A Successful Compliance Program
October 26, 2022Vigilant Insights Brief Introduction Regulatory errors can be costly, not only from a fine and disgorgement perspective, but from a business and[...]
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7 Steps to Maintain Compliance with the Marketing Rule
October 24, 2022Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be[...]
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New SEC Rule Amends Modern Preservation of Electronic Records
October 14, 2022SEC Releases Brief Introduction On October 12th, the SEC voted to amend the electronic recordkeeping, prompt production of records, and third-party recordkeeping[...]
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Malfunction On Commenting For 11 Rulemaking Releases
October 12, 2022SEC Releases Brief Introduction The SEC routinely opens a comment period for rulemaking releases to allow any interested and affected persons the[...]
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Breaches of Fiduciary Duty and Compliance Failures | SEC Charge
October 11, 2022SEC Releases Brief Introduction Last month, an Investment Adviser was charged by the SEC with a $200,000 civil penalty and required to pay clients $575,589[...]
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