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 Risk Alert for Newly Registered Advisers
March 30, 2023SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during[...]
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Firms may Struggle to meet SEC Compliance Deadlines
March 27, 2023News and Alerts Brief Introduction As the SEC pushes to finalize over twenty rules and amendments in 2023. Firms with limited resources[...]
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Prepare for More On-Site SEC Exams in 2023
March 24, 2023News and Alerts Brief Introduction The Deputy Director of the SEC Division of Examinations has verbalized the intention to significantly increase the number[...]
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SEC Increase On Recordkeeping For Exams | Brian Dillon’s Insights
March 22, 2023Vigilant Insights Vigilant’s Director, Brian Dillon, was quoted in a Board IQ article regarding recent examination document production requests from the SEC related to the[...]
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SEC Proposes Amendments to Regulation S-P
March 19, 2023SEC Releases Brief Introduction On March 15th, the SEC proposed new changes to Regulation S-P . Their goal is to enhance the protection of customer[...]
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SEC Reopens Comment Period for Proposed Cybersecurity Rule
March 17, 2023SEC Releases On March 15th, the SEC chose to reopen the comment period on the Proposed Cyber Rule for cybersecurity risk management[...]
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Vigilant Shortlisted as Best Advisory/Consultancy Firm for 2023
March 15, 2023Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory/Consultancy Firm (Private Fund Industry) in Regulatory Compliance for 2023[...]
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15 Compliance Considerations Amid Banking Crisis
March 14, 2023Vigilant Insights Brief Introduction Like many, Vigilant is closely monitoring the impact that the present banking crisis has on certain RIAs.[...]
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JPMorgan Bans Employees from Use of Certain AI Technology
March 09, 2023News and Alerts Brief Introduction As compliance headaches continue to arise over the use of third-party communications software, JPMorgan joined other companies in banning[...]
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SEC Continues to Investigate Recordkeeping Practices
March 08, 2023News & Alerts Brief Introduction It was announced that multiple Firms (Blackrock, Blackstone, Stifel, Citadel, Point72, Wells Fargo, SG Americas[...]
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Repeat Violations by Advisors’ Parents | Fred Teufel Reacts
March 03, 2023Vigilant Insights Vigilant’s Director and Industry Veteran, Fred Teufel, was quoted in BoardIQ on repeat violations by Advisors’ Parents, which is causing[...]
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Vigilant Monthly Newsletter | February 2023
March 01, 2023Monthly Newsletter In February, we saw SEC Releases and Charges, as well as important insights from Vigilant. Below is a brief[...]
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