Vigilant Insights

Dangers of Social Media Influencers | Thayne Gould Reacts

VIGILANT INSIGHTS Introduction As the Marketing Rule continues to be a major topic for enforcement in 2024, it would be prudent for Firms to have […]

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SEC Marketing Rule Risk Alert | Thayne Gould Reacts

Vigilant Insights Introduction The SEC has sent out its third risk alert related to the Marketing Rule. With the most recent enforcement activity occurring this month, the industry is working […]

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Fiduciary Duty and FINRA Enforcement | Patrick Chism Insights

Vigilant Insights Introduction Vigilant Managing Director, Patrick Chism, was quoted in a recent Ignites article related to the FINRA investigation of a Firm for its use of fee-waivers. The […]

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Misleading AI Statements | Fred Teufel Reacts

Vigilant Insights Introduction The SEC announced last month that two (2) Investment Advisers were charged $400,000 for misleading statements related to their use of Artificial […]

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Importance of a Strong Culture of Compliance | Chelsea Bosiljevac Insights

Vigilant Insights Introduction The most recent SEC enforcement involving recordkeeping and off-channel communications reinforces our opinion that there will be no slowing down for the Agency when it comes to electronic recordkeeping […]

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Vigilant 2024 Compliance Calendar | Download Here

Vigilant Insights Introduction As you continue to prepare for the new year, be sure to check out Vigilant’s 2024 Regulatory Filings Calendar, which includes Filing Deadlines for each […]

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A Partnership Driven Compliance Provider | Vigilant

Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why we believe we won the […]

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Potential 2024 SEC Rule Adoptions

Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is important for the industry to […]

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7 Effective Compliance Strategies for 2024

Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong focus on your Compliance budgets to […]

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Electronic Communication Recordkeeping and SEC Enforcements

Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have indicated that the fines will […]

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Top SEC Releases and Vigilant Insights from 2023

Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024, it is important to look […]

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How to Prepare for an SEC Examination | Vigilant Insights

Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of being prepared. SEC Examinations can be […]

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