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.
Top SEC Releases and Vigilant Insights from 2023
January 10, 2024Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024,[...]
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How to Prepare for an SEC Examination | Vigilant Insights
January 09, 2024Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of[...]
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Private Equity Adviser Charged $4 Million for Compliance Failures
January 04, 2024SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related[...]
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AI Risks for Institutional Investors | Fred Teufel Insights
January 02, 2024Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA,[...]
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Vigilant Compliance Newsletter | December 2023
December 27, 2023Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what[...]
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Rule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ
December 21, 2023Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5[...]
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SEC Continues Sweep for AI | Chuck Martin Insights on FundFire
December 18, 2023Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to[...]
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Vigilant Shortlisted as Best Compliance Advisory Firm for 2024
December 15, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations &[...]
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Private Funds Forced to Adapt to Ongoing SEC Regulations
December 15, 2023News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the[...]
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Vigilant Awarded as Best Regulatory & Compliance Adviser
December 11, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been awarded as the 2023 Best Regulatory & Compliance Adviser[...]
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SEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ
December 11, 2023Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With[...]
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Increased Compliance Investments Indicated by Survey
December 07, 2023News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our[...]
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