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
Electronic Communication Recordkeeping and SEC Enforcements
January 12, 2024Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have[...]
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Top SEC Releases and Vigilant Insights from 2023
January 10, 2024Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024,[...]
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Vigilant Insights
How to Prepare for an SEC Examination | Vigilant Insights
January 09, 2024Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of[...]
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Vigilant Insights
AI Risks for Institutional Investors | Fred Teufel Insights
January 02, 2024Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA,[...]
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Vigilant Insights
Rule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ
December 21, 2023Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5[...]
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SEC Continues Sweep for AI | Chuck Martin Insights on FundFire
December 18, 2023Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to[...]
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Vigilant Insights
SEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ
December 11, 2023Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With[...]
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Vigilant Insights
AI and SEC Exams – Fred Teufel and CJ Schaible Insights
December 04, 2023Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected[...]
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FINRA Projected Performance Proposal | Thayne Gould Insights
November 30, 2023Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain[...]
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SEC Exams Heightened Focus on Tech | Fred Teufel Insights
November 29, 2023Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and[...]
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Vigilant Insights
SEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights
November 26, 2023Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in[...]
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Vigilant Insights
Best Practices for Keeping your RIA Compliant
November 19, 2023Vigilant Insights Introduction There is a significant amount of regulatory requirements as a Registered Investment Adviser (“RIA”). Requirements which include a breadth[...]
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