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.
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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Risk Alert “Reminder” | New Marketing Rule
September 20, 2022EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”),[...]
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Vigilant Shortlisted As Best Regulatory & Compliance Firm
September 16, 2022Vigilant Shortlisted as Best Regulatory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted for our third award[...]
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Vigilant Shortlisted As Best Regulatory Advisory & Compliance Firm
September 15, 2022Vigilant Nominated as Best Regulatory Advisory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory Advisory[...]
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SEC Charges 9 Investment Advisers on Custody Rule and ADV Violations
September 14, 2022Brief Introduction On September 9th, the SEC charged 9 investment advisers that failed to comply with requirements relating to safekeeping client assets and/or[...]
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What Is a Compliance Risk Matrix & Why Is It So Important?
September 14, 2022Risk, for businesses, is any threat that gets in the way of a company’s goals. Compliance risks are anything that[...]
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