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
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
SEC Releases
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[...]
Read Article
SEC Releases
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[...]
Read Article
SEC Releases
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[...]
Read Article
SEC Releases
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[...]
Read Article
SEC Releases
Mandatory Disclosures | Gensler Discusses at Columbia Law
March 26, 2024SEC RELEASES Introduction On March 22nd, SEC Chair, Gary Gensler, spoke at a Columbia Law School conference. He discussed the[...]
Read Article
SEC Releases
Misleading AI Statements | SEC Charges Two Firms
March 19, 2024SEC Releases Introduction On March 18th, the SEC announced charges against two Investment Advisers. Both Firms were found to have made false and[...]
Read Article
SEC Releases
SEC Commissioner, Mark Uyeda, Discusses the Administrative State
March 14, 2024SEC Releases Introduction SEC Commissioner, Mark Uyeda, recently addressed the Council of Institutional Investors on the administrative state. He voiced[...]
Read Article
SEC Releases
Climate-Related Disclosures | SEC Adopts Rules
March 08, 2024SEC Releases Introduction The SEC announced on March 6th, 2024, that final rules have been adopted that require Firms to provide disclosures[...]
Read Article
SEC Releases
SEC Charges Firm $950k for Disclosure Failures
March 05, 2024SEC Releases Introduction The SEC charged an Investment Adviser with disclosure failures related to required 13G and 13D Filings. Failures to submit timely[...]
Read Article