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.
Trade Allocations Enforcement | Salvatore Faia Insights on Barron’s
December 02, 2024VIGILANT INSIGHTS Introduction After recent charges against a Fund Manager related to Trade Allocations involving an alleged $600 Million cherry-picking[...]
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2024 SEC Enforcement Results
November 27, 2024SEC Releases Introduction The SEC has released their enforcement results for fiscal year 2024. This year was a record-setting year for financial penalties and[...]
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Important Compliance Concerns for 2025
November 20, 2024VIGILANT INSIGHTS Introduction As compliance departments prepare for 2025, there is much discussion about how compliance leaders can continue to[...]
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The SEC Marketing Rule and a New Administration | Will Clark Insights
November 18, 2024Vigilant Insights Introduction With a new administration entering the White House in 2025, some are speculating that the regulatory climate[...]
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SEC Scrutiny of ESG Advertising | Maxwell Baker Insights
November 13, 2024VIGILANT INSIGHTS Introduction The SEC recently charged a Firm $17,500,000 for misleading statements about the role of ESG in their[...]
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RIC Risk Alert | Bernadette Murphy Insights
November 11, 2024VIGILANT INSIGHTS Introduction The SEC recently released a Risk Alert focusing on frequent deficiencies found during their examinations of Registered[...]
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Key Takeaways from the SEC Compliance Outreach Seminar
November 07, 2024SEC Releases Introduction Today, November 7th, the SEC just completed their National Compliance Program Outreach Seminar. There were opening remarks made by[...]
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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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Vigilant Compliance Newsletter | October 2024
November 04, 2024Monthly Newsletter In October, we saw a good blend of Vigilant Insights and SEC Releases content, as well as a Vigilant Announcement too.[...]
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AI Oversight is Lacking for Firms | Maxwell Baker Insights
November 03, 2024Vigilant Insights Introduction A recent survey that will be released in November reveals that although a majority of Financial Service[...]
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2025 Examination Priorities | Maxwell Baker Insights
November 01, 2024VIGILANT INSIGHTS Introduction With the 2025 SEC exam priorities released last week, compliance professionals are analyzing their programs to ensure that they meet[...]
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Cybersecurity Demand Increases for Pension Funds | Laura Arnott Insights
October 30, 2024VIGILANT INSIGHTS Introduction Cybersecurity continues to be a focus area for the SEC and the rest of the Financial Services[...]
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