Vigilant Insights
Interval Fund Faces Valuation Issues | Fred Teufel Reacts
Vigilant Insights Brief Introduction Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in an Ignites article recently discussing a request made to the SEC by a $44 […]
Read MoreImportance of Maintaining Records of Communications | Will Clark Insights
Vigilant Insights Off-channel communication violations continue to be a costly compliance mistake in the securities industry. Almost $549 million in fines have been handed out in the past month. In […]
Read MorePrivate Equity Firms Should Consider Outsourced Compliance
Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their risk of expensive regulatory fines […]
Read MoreFeeling “Overwhelmed” by Marketing Review | Vigilant Solutions
Vigilant Insights Brief Introduction The SEC has recently released a Risk Alert describing the large amount of documents typically requested during SEC Examinations. With the SEC’s first enforcement action related […]
Read MoreRegulatory Impact on Smaller Firms | Bernadette Murphy Insights
Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment Advisers (“RIAs”). As the SEC […]
Read MoreAI and Messaging Compliance | Michael Hogan Insights
Vigilant Insights Brief Introduction With the recent SEC charges of $289 million related to electronic recordkeeping failures, which increases the total fines ordered to over $1.5 billion for […]
Read MoreFirst SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts
Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule. A New York based FinTech Investment […]
Read MoreMistakes To Avoid When Choosing A Compliance Partner
Vigilant Insights Brief Introduction We’ve previously discussed how a Firm can address its need for a cost-effective compliance solution. There can be many risks and inefficiencies resulting […]
Read MoreWhy Due Diligence Is Crucial | Vigilant Insights
Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major focus for the SEC. The […]
Read MoreConflicts of Interest and Predictive Data Analytics | Fred Teufel Reacts
Vigilant Insights Brief Introduction The SEC recently proposed a new rule related to conflicts of interest and predictive data analytics. The rule was met with resistance from SEC Commissioner […]
Read MoreRecent SEC Recordkeeping Charges | Vigilant Reacts
Vigilant Insights Brief Introduction As recently reported, the SEC has announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties of […]
Read MoreConcerns and Suggestions for AI Use | Vigilant Insights
Vigilant Insights Brief Introduction Artificial Intelligence (“AI”) has become a major topic of discussion within the compliance industry. As with most technology, it is inevitable that compliance departments […]
Read More