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.

 

Mistakes To Avoid When Choosing A Compliance Partner

August 18, 2023

Vigilant Insights Brief Introduction We’ve previously discussed how a Firm can address its need for a cost-effective compliance solution. There can[...]

Read Article

Why Due Diligence Is Crucial | Vigilant Insights

August 18, 2023

Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major[...]

Read Article

SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd

August 17, 2023

News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August[...]

Read Article

Conflicts of Interest and Predictive Data Analytics | Fred Teufel Reacts

August 16, 2023

Vigilant Insights Brief Introduction The SEC recently proposed a new rule related to conflicts of interest and predictive data analytics. The rule was met[...]

Read Article

Vigilant Celebrates 19 Years Of Compliance Excellence

August 15, 2023

Vigilant Thanks You For Your Support Over The Past 19 Years! Vigilant celebrates 19 successful years in business today, August 15th, 2023. Vigilant was[...]

Read Article

New Cybersecurity Rule Compliance Dates

August 11, 2023

News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement[...]

Read Article

Recent SEC Recordkeeping Charges | Vigilant Reacts

August 11, 2023

Vigilant Insights Brief Introduction As recently reported, the SEC has announced that there have been 11 Wall Street Firms charged with widespread[...]

Read Article

Concerns and Suggestions for AI Use | Vigilant Insights

August 09, 2023

Vigilant Insights Brief Introduction Artificial Intelligence (“AI”) has become a major topic of discussion within the compliance industry. As with most technology, it[...]

Read Article

11 Firms Charged by the SEC for Recordkeeping Failures

August 08, 2023

SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with[...]

Read Article

18 Compliance Trends Discovered by Vigilant in 2023

August 07, 2023

Vigilant Insights Brief Introduction As we proceed into the “half way” point entering Q3 2023, it is important to examine and[...]

Read Article

Off-Channel Communication Still a Major Regulatory Focus

August 02, 2023

NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related[...]

Read Article

Vigilant Monthly Newsletter | July 2023

August 01, 2023

Monthly Newsletter In July, we saw SEC Releases, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is[...]

Read Article