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.
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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Vigilant Monthly Newsletter | September 2022
October 06, 2022Vigilant Monthly Newsletter In this edition of Vigilant’s Monthly Newsletter for September, we saw our highest amount of content for[...]
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SEC’s Examination Approach on Rule 18f-4 | Chuck Martin Reacts
October 05, 2022Chuck Martin Observations | Vigilant Insights Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts on BoardIQ that focuses on[...]
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First SEC Fine Under The Municipal Advisor Registration Rule
October 03, 2022Brief Introduction For the first time under the municipal advisor registration rule, the SEC fined a Registered Broker Dealer for a violation of[...]
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SEC Chair Provides Comments on the SEC’s Agenda
September 30, 2022Brief Introduction SEC Chair, Gary Gensler, made multiple comments during a 30-minute discussion with IAA CEO, Karen Barr, that gave insight into the SEC’s[...]
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SEC Examination on Derivatives Rule | Chuck Martin Insights
September 29, 2022Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his insights on BoardIQ that focuses on the SEC’s examination of[...]
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SEC Charges $1.1 Billion to 16 Wall Street Firms
September 28, 2022SEC Charges $1.1 Billion to 16 Firms Brief Introduction On September 27th, the SEC charged 16 firms over $1.1 Billion in[...]
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“Do It Yourself” Compliance | 5 Unintended Outcomes
September 27, 2022Brief Introduction Many firms underestimate the importance of a designated compliance team supporting their business. A common theme we have seen throughout[...]
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SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
September 23, 2022SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be[...]
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SEC Charges $35 Million Over Failures to Protect “PII”
September 21, 2022SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm[...]
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