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.

 

4 Key Takeaways from the 2022 PLI Investment Management Program

July 28, 2022

Brief 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, 2022

Brief 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, 2022

5 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, 2022

Brief 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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Industry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures

July 13, 2022

Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful[...]

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SEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers

July 08, 2022

Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information[...]

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Vigilant Monthly Newsletter | June 2022

July 01, 2022

In June, we saw important SEC Releases, SEC Charges, important insights from Vigilant, and an adopted new Rule. Below is[...]

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SEC Imposes Largest Penalty Ever Against an Audit Firm

June 30, 2022

Brief 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, 2022

Brief 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, 2022

Brief 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, 2022

Brief 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, 2022

There continues to be new rules and regulations that impact Mutual Funds, and other Registered Funds. Recent changes like the[...]

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