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
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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SEC Releases
Reg SCI Failures | $10 Million SEC Charge
May 28, 2024SEC RELEASES Introduction On May 22nd, the SEC announced a $10 million penalty against a business for failing to notify[...]
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SEC Releases
SEC and FinCEN Propose New Rule for Customer Identification Program
May 20, 2024SEC RELEASES Introduction On May 13th, the SEC and FinCEN issued a joint proposal for customer identification program obligations to[...]
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SEC Releases
SEC Adopts Amendments to Regulation S-P
May 16, 2024SEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These[...]
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SEC Releases
The Marketing Rule and the Public Good | Gary Gensler Takeaways
May 15, 2024SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into[...]
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