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
Compliance Program Oversight Failure for an RIA Results in $150k Fine
September 27, 2024SEC Releases Introduction The SEC announced on September 20th, 2024, that a New York RIA with $723 Million in AUM[...]
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SEC Releases
Recordkeeping Violations Display No Slow Down | $1.3M in Fines
September 19, 2024SEC RELEASES Introduction Recordkeeping failures have been costly for multiple Firms in the past few years. We have seen recent[...]
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SEC Releases
$1.2 Million in Marketing Rule Violations | 9 Firms Charged
September 10, 2024SEC RELEASES Introduction On September 9th, 2024, the SEC announced charges against nine (9) Firms for Marketing Rule violations. The[...]
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SEC Releases
3 SEC Charges | Marketing Rule, Recordkeeping, and Custody Rule
September 06, 2024SEC RELEASES Introduction September 3rd, 2024 was a busy day for SEC Enforcement. There were Recordkeeping failures amongst six Credit[...]
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SEC Releases
26 Firms Fined $392 Million | Recordkeeping Failures
August 16, 2024SEC Releases Introduction On August 14th, 2024, nearly $400 million in charges were filed against twenty-six (26) Firms by the SEC for widespread recordkeeping failures. Recordkeeping failures[...]
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SEC Releases
$430k Marketing Rule Fine on Hypothetical Performance
August 13, 2024SEC RELEASES Introduction An RIA based in Washington was charged by the SEC on August 9th, 2024, for Marketing Rule[...]
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SEC Releases
SEC Spring 2024 Regulatory Agenda Released
July 09, 2024SEC RELEASES Proposed Rules Up for Final Approval! On July 8th, the SEC released their Spring 2024 Regulatory Agenda. In[...]
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SEC Releases
Cybersecurity Violations Result in $2.1 Million Penalty
June 19, 2024SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control[...]
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SEC Releases
SEC Chair and Commissioners Discuss AI | SEC Releases
June 14, 2024SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient[...]
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SEC Releases
Risk Alert on Broker Dealer Examinations
June 07, 2024SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers.[...]
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SEC Releases
How to Cooperate During SEC Investigations | SEC Releases
June 05, 2024SEC Releases Introduction On May 23rd, SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West[...]
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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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