Vigilant Insights Archives - Page 10 of 13

Three Areas The SEC Could Increase Private Equity Scrutiny in 2023

Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023. The SEC has added more proposals […]

Vigilant 2023 Compliance Calendar

Vigilant Insights As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2023 Regulatory Filings Calendar, which includes Filing Deadlines for each […]

New SEC Rules to be Aware of for 2023

Vigilant Insights Brief Introduction Four important SEC rules were discussed during the National Compliance Seminar last month. Two have already been adopted, continuing to add complexity to […]

Firms Investing More in Compliance to Reduce Regulatory Headaches

Vigilant Insights Brief Introduction In light of recent SEC charges, including the charges against firms for failing to monitor and record electronic communications via texting and other […]

Moving to a Proactive Compliance Approach | Vigilant Insights

Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President & CEO, Salvatore Faia, JD, […]

How Outsourced Compliance Could Benefit Your Firm

Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their compliance is an efficient, safe, […]

SEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts

Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act of 1940 (“Advisers Act”) which […]

7 Tips To Build A Successful Compliance Program

Vigilant Insights Brief Introduction Regulatory errors can be costly, not only from a fine and disgorgement perspective, but from a business and reputational perspective. It has become […]

7 Steps to Maintain Compliance with the Marketing Rule

Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be taking immediate action to ensure that […]

SEC’s Examination Approach on Rule 18f-4 | Chuck Martin Reacts

Chuck Martin Observations | Vigilant Insights Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts on BoardIQ that focuses on the SEC’s examination of Fund […]

SEC Examination on Derivatives Rule | Chuck Martin Insights

Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his insights on BoardIQ that focuses on the SEC’s examination of a Fund’s Compliance with their […]

“Do It Yourself” Compliance | 5 Unintended Outcomes

Brief Introduction Many firms underestimate the importance of a designated compliance team supporting their business. A common theme we have seen throughout the industry are firms designating a […]