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.
Risk Alert Observations from Municipal Advisor Examinations
August 25, 2022Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior[...]
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Vigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Provide Insights Toward the Newly Effective Derivatives Rule
August 24, 2022Brief Introduction Chuck Martin and Ryan Hurley were both quoted on Regulatory Compliance Watch providing their thoughts and insights towards the SEC’s Derivatives[...]
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SEC Emphasizes Importance of Reg BI Adherence
August 17, 2022Brief Introduction On Tuesday, August 2, 2022, the SEC staff released a bulletin emphasizing the importance of adhering to the Investment Advisers Act[...]
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Vigilant Celebrates 18 Years of Compliance Excellence
August 15, 2022Vigilant Thanks You For Your Support Over The Past 18 Years! Vigilant celebrates 18 successful years in business Today, August 15th, 2022. Vigilant was[...]
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SEC Proposed Form PF Amendments to Enhance Private Fund Reporting
August 11, 2022Brief Introduction On August 10th, the SEC proposed amendments to Form PF which would enhance private fund reporting. Specifically, these amendments would strengthen the SEC’s investor protection[...]
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Vigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference
August 09, 2022At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti,[...]
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Vigilant Monthly Newsletter – July 2022
August 04, 2022In July, we saw important SEC Releases, SEC Charges, and important insights from Vigilant. Below is a brief overview of[...]
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SEC Charges Firms for Deficiencies in Customer Identity Theft Prevention
August 01, 2022Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent[...]
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4 Key Takeaways from the 2022 PLI Investment Management Program
July 28, 2022Brief Introduction On July 26th, 2022, Practising Law Institute (“PLI”) hosted their annual program for 2022 on Current Issues & Trends[...]
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$200 Million Fine for Misuse of Personal Devices
July 27, 2022Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because[...]
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5 Common ESG Deficiencies Found From SEC Examinations
July 19, 20225 Common ESG Deficiencies Found From SEC Examinations Vigilant has seen 5 common ESG Deficiencies found during SEC examinations below:[...]
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Brokerage Firm Charged by SEC for Violating Reg BI Standards
July 18, 2022Brief Introduction On June 16th, the SEC announced that they had charged a registered broker-dealer and five of its registered representatives for[...]
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