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
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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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SEC Releases
$1.5 Million Charge for ETF Launch Disclosure Failure
February 26, 2024SEC Releases Introduction An RIA was recently charged $1.5 Million by the SEC for failing to provide proper disclosures about the launch of one[...]
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SEC Releases
$2.2 Million Reg BI Violation | SEC Releases
February 23, 2024SEC Releases Introduction A Broker Dealer was charged $2.2 Million on February 16th for failures to comply with Regulation Best Interest (“Reg BI”). Reg BI continues to[...]
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SEC Releases
SEC Chair, Gary Gensler, Discusses AI
February 21, 2024SEC Releases Introduction SEC Chair, Gary Gensler, recently spoke at a Yale Law School event about Artificial Intelligence (“AI”) and the important role[...]
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