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.
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 Marketing Rule Risk Alert | Thayne Gould Reacts
April 23, 2024Vigilant Insights Introduction The SEC has sent out its third risk alert related to the Marketing Rule. With the most recent enforcement activity occurring this[...]
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Fiduciary Duty and FINRA Enforcement | Patrick Chism Insights
April 22, 2024Vigilant Insights Introduction Vigilant Managing Director, Patrick Chism, was quoted in a recent Ignites article related to the FINRA investigation of a Firm for[...]
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“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 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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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 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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Misleading AI Statements | Fred Teufel Reacts
April 11, 2024Vigilant Insights Introduction The SEC announced last month that two (2) Investment Advisers were charged $400,000 for misleading statements related[...]
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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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Vigilant Compliance Newsletter | March 2024
April 07, 2024Monthly Newsletter In March, we saw SEC Charges, SEC Statements, and Vigilant Announcements. Below is a brief overview of what took[...]
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First FINRA Fine for Use of Social Media Influencers
April 05, 2024FINRA Introduction FINRA recently announced its first enforcement action related to the use of Social Media Influencers. This stems from[...]
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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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