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
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[...]
Read Article
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[...]
Read Article
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.[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
SEC Releases
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[...]
Read Article
SEC Releases
“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[...]
Read Article
SEC Releases
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[...]
Read Article