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, 2023Vigilant Insights Brief Introduction We’ve previously discussed how a Firm can address its need for a cost-effective compliance solution. There can[...]
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Why Due Diligence Is Crucial | Vigilant Insights
August 18, 2023Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major[...]
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SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd
August 17, 2023News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August[...]
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Conflicts of Interest and Predictive Data Analytics | Fred Teufel Reacts
August 16, 2023Vigilant Insights Brief Introduction The SEC recently proposed a new rule related to conflicts of interest and predictive data analytics. The rule was met[...]
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Vigilant Celebrates 19 Years Of Compliance Excellence
August 15, 2023Vigilant Thanks You For Your Support Over The Past 19 Years! Vigilant celebrates 19 successful years in business today, August 15th, 2023. Vigilant was[...]
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New Cybersecurity Rule Compliance Dates
August 11, 2023News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement[...]
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Recent SEC Recordkeeping Charges | Vigilant Reacts
August 11, 2023Vigilant Insights Brief Introduction As recently reported, the SEC has announced that there have been 11 Wall Street Firms charged with widespread[...]
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Concerns and Suggestions for AI Use | Vigilant Insights
August 09, 2023Vigilant Insights Brief Introduction Artificial Intelligence (“AI”) has become a major topic of discussion within the compliance industry. As with most technology, it[...]
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11 Firms Charged by the SEC for Recordkeeping Failures
August 08, 2023SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with[...]
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18 Compliance Trends Discovered by Vigilant in 2023
August 07, 2023Vigilant Insights Brief Introduction As we proceed into the “half way” point entering Q3 2023, it is important to examine and[...]
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Off-Channel Communication Still a Major Regulatory Focus
August 02, 2023NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related[...]
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Vigilant Monthly Newsletter | July 2023
August 01, 2023Monthly Newsletter In July, we saw SEC Releases, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is[...]
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