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’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,[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
$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[...]
Read Article
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:[...]
Read Article
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[...]
Read Article
Industry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures
July 13, 2022Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful[...]
Read Article
SEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers
July 08, 2022Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information[...]
Read Article
Vigilant Monthly Newsletter | June 2022
July 01, 2022In June, we saw important SEC Releases, SEC Charges, important insights from Vigilant, and an adopted new Rule. Below is[...]
Read Article
SEC Imposes Largest Penalty Ever Against an Audit Firm
June 30, 2022Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA[...]
Read Article
SEC Adopts Rules to Require Electronic Filings
June 28, 2022Brief Introduction On Thursday, June 23rd, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers,[...]
Read Article