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.
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[...]
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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,[...]
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Spring 2022 Regulatory Agenda | SEC Announcements
June 23, 2022Brief Introduction On Wednesday, June 22nd, the SEC announced that the Office of Information and Regulatory Affairs released the Spring 2022 Unified[...]
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SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund
June 14, 2022Brief Introduction Today, June 14th, the SEC announced that they charged a Private Equity Adviser with allocating undisclosed, disproportionate expenses to a[...]
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Mutual Fund Compliance: An Overview of What You Need to Know
June 14, 2022There continues to be new rules and regulations that impact Mutual Funds, and other Registered Funds. Recent changes like the[...]
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Vigilant Monthly Newsletter | May 2022
June 10, 2022For May’s version of Vigilant’s Monthly Newsletter, we saw an important SEC Proposed Rule, SEC Releases, and important insights from[...]
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5 Current Trends in Compliance
June 09, 2022Brief Introduction to the Trends in Compliance As we get closer to Q3, we have seen a lot of forecasted[...]
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SEC’s First-Ever Enforcement Proceeding Under Section 11 Of The Investment Company Act Of 1940
June 02, 2022Brief Introduction Last week, the SEC’s first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching[...]
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SEC Proposes New Rule Towards ESG Investment Practices
May 27, 2022Brief Introduction On Wednesday, May 25th, the SEC released Proposed ESG Related Amendments for Funds and Advisers. Who Does This Apply[...]
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EXAMS Issues Reminder For The Marketing Rule Compliance Date
May 25, 2022Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them[...]
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2021 SEC Examination Priorities vs. 2022 SEC Examination Priorities
May 19, 2022Brief Introduction to the 2022 SEC Examination Priorities With the release of the 2022 SEC Examination Priorities at the end[...]
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The Marketing Rule One Year Later
May 17, 2022Brief Introduction to the SEC’s Marketing Rule Priorities in 2022 With the SEC Marketing Rule becoming effective November 4th, 2022,[...]
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