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.
Vigilant Insights
$3.4 Million in Fines for Form 13F Failures | Michael Hogan Insights
September 25, 2024VIGILANT INSIGHTS Introduction Multiple Firms were fined a combined $3.4 million in penalties for failing to file Form 13F in[...]
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SEC Disclosure Amendments (N-PORT and N-CEN) | Liam Clarke Insights
September 24, 2024Vigilant Insights Introduction The SEC made changes to certain disclosure requirements recently involving N-PORT and N-CEN filings. The changes were adopted on August 28th, 2024.[...]
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SEC Swing Pricing Proposal Shelved | Fred Teufel Insights
September 17, 2024VIGILANT INSIGHTS Introduction The SEC adopted additional requirements on August 28th, 2024, related to Forms N-PORT and N-CEN. Form N-PORTs[...]
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SEC Recordkeeping Enforcements | Bernadette Murphy Insights
September 16, 2024VIGILANT INSIGHTS Introduction The SEC’s recent charges related to recordkeeping in August clearly indicate that the SEC has no intention[...]
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Weathering the Storm: Successful Compliance in A Regulatory Whirlwind
September 02, 2024Vigilant Insights Introduction There is little to argue that compliance success has become a more difficult achievement in the past few years. Firms discovered early[...]
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Custody Rule Violations | Will Clark Insights
August 29, 2024VIGILANT INSIGHTS Introduction A New York Firm was charged $75,000 for allegedly violating custody and compliance rules in relation to[...]
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SEC Charges for Off-Channel Communications | Donna DiMaria Insights
August 27, 2024VIGILANT INSIGHTS Introduction The industry received a big reminder this month that the SEC continues to target off-channel communications by[...]
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Pay-to-Play Violations | Maxwell Baker Insights
August 21, 2024Vigilant Insights Introduction A Texas Firm was charged a $95,000 penalty on August 19th for violating the Pay-to-Play Rule. This occurred because an employee had donated over[...]
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SEC Sweep for AI Use | Fred Teufel Insights
August 20, 2024VIGILANT INSIGHTS Introduction The use of Artificial Intelligence (“AI”) by Registered Investment Advisers (“RIAs”) and Broker Dealers is one of[...]
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Tailored Shareholder Reports Rule | Liam Clarke Insights
August 19, 2024VIGILANT INSIGHTS Introduction With the most recent compliance date of July 24th, the Tailored Shareholder Reports Rule is already causing[...]
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SEC Tailored Shareholder Reports Rule | Liam Clarke Insights
July 30, 2024VIGILANT INSIGHTS Introduction The SEC’s Tailored Shareholder Reports Rule had a Compliance Date on July 24th, 2024. As Funds make[...]
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Compliance Implications from Supreme Court Rulings
July 15, 2024VIGILANT INSIGHTS Introduction Last month, the Supreme Court overturned the Chevron Doctrine which will likely have a lasting impact on[...]
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