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 Releases
False Statements and Conflicts of Interest | Firm and Co-Founder Charged
June 03, 2024SEC RELEASES Introduction On May 29th, the SEC announced charges against a previous RIA and its Co-Founder for statements made[...]
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SEC Releases
Reg SCI Failures | $10 Million SEC Charge
May 28, 2024SEC RELEASES Introduction On May 22nd, the SEC announced a $10 million penalty against a business for failing to notify[...]
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SEC Releases
SEC and FinCEN Propose New Rule for Customer Identification Program
May 20, 2024SEC RELEASES Introduction On May 13th, the SEC and FinCEN issued a joint proposal for customer identification program obligations to[...]
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SEC Releases
SEC Adopts Amendments to Regulation S-P
May 16, 2024SEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These[...]
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SEC Releases
The Marketing Rule and the Public Good | Gary Gensler Takeaways
May 15, 2024SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into[...]
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SEC Releases
Director of Enforcement Division Talks AI | Key Takeaways
April 30, 2024SEC RELEASES Introduction Artificial Intelligence (“AI”) continues to grab the attention of regulators that are trying to stay ahead of[...]
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SEC Releases
“SEC Speaks 2024” Key Takeaways
April 21, 2024SEC Releases Introduction Recently, the SEC Chair, multiple Commissioners, and Directors gave their opinions about the state of the regulatory environment. Some notable[...]
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SEC Releases
SEC Risk Alert | Marketing Rule Compliance
April 18, 2024SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April[...]
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SEC Releases
RIA Pay-To-Play Violation Involving a Campaign Contribution
April 17, 2024SEC Releases Introduction On April 15, 2024, the SEC announced an RIA violated the Pay-To-Play Rule by continuing to receive compensation from a government[...]
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SEC Releases
SEC Marketing Rule Violations | 5 RIAs Charged
April 12, 2024SEC Releases Introduction The SEC announced on Friday, April 12th, that they have charged five (5) Registered Investment Advisers (“RIAs”) for[...]
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SEC Releases
Recordkeeping and Code of Ethics Failures | $6.5 Million RIA Fine
April 09, 2024SEC RELEASES Introduction On April 3rd, the SEC announced charges against a Registered Investment Adviser (“RIA”) for “widespread and longstanding[...]
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SEC Releases
SEC Adopts Amendments Affecting Internet Investment Advisers
April 03, 2024SEC Releases Introduction The SEC adopted amendments that affect the way Internet Investment Advisers register, particularly with small Investment Advisers. Although the different potential rule[...]
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