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 Focused on RICs | Division of Examinations
November 06, 2024SEC RELEASES Introduction On November 4th, 2024, the Division of Examinations (EXAMS) released a risk alert for Registered Investment Companies[...]
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SEC Releases
Fund Misstatements Lead to $4 Million SEC Charge
October 23, 2024SEC Releases Introduction On October 21st, the SEC announced a $4 Million Charge to a NY RIA for compliance failures and making misstatements.[...]
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SEC Releases
2025 Division of Examinations Exam Priorities
October 21, 2024SEC Releases Introduction On October 21st, 2024, the Division of Examinations (EXAMS) released their 2025 Examination Priorities. There is detailed coverage[...]
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SEC Releases
Misleading AI Marketing Statements | $523k SEC Charge
October 17, 2024SEC RELEASES Introduction On October 10th, the SEC announced charges against a Firm and its controlling members for their use[...]
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SEC Releases
Reg BI Violations Result in $325k Charge for Broker Dealer
September 30, 2024SEC RELEASES Introduction The SEC announced charges against a Broker Dealer on September 18th, 2024, for violations pertaining to Regulation[...]
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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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