Vigilant Insights Archives - Page 11 of 15

18 Compliance Trends Discovered by Vigilant in 2023

Vigilant Insights Brief Introduction As we proceed into the “half way” point entering Q3 2023, it is important to examine and monitor the industry compliance trends so […]

Maintaining Messaging Compliance (Electronic Communications)

VIGILANT INSIGHTS Brief Introduction Failures in messaging compliance can be costly. In the fall of 2022, Firms were fined over $1.1 Billion for recordkeeping failures […]

Preparing for ESG Regulation

Vigilant Insights Brief Introduction As the SEC continues to focus on enforcement related to ESG, Firms should take the necessary steps to prepare for the […]

Marketing Rule Risk Alert | Donna DiMaria Reacts (ETF Express)

Vigilant Insights Vigilant’s own, Donna DiMaria, was spotlighted by ETF Express providing insights on the recent SEC Risk Alert on the Marketing Rule. As someone who has been heavily involved in the […]

5 Rising Topics in the Compliance Industry | 2023

Vigilant Insights Brief Introduction In an increasingly dynamic regulatory environment, finding financial success for your Firm without also finding compliance success appears to be highly […]

Reg BI May Be A Major Source Of Future Enforcement Action

Vigilant Insights Brief Introduction Under Regulation BI (“Reg BI”), Firms are expected to act in the best interests of their customers. This requires full and fair disclosing, reasonable […]

Form PF Filings are Due at the End of the Month (April 30th, 2023)

Vigilant Insights Brief Introduction SEC Registered Investment Advisers (“RIAs”) that manage Private Funds must file their Form PF by April 30th, 2023, if they meet certain […]

SEC Hires 100+ Staff, Is Your Firm Prepared?

Vigilant Insights Brief Introduction The SEC is looking to hire over 100 additional staff members for its enforcement division, and is proposing a 12% budget increase […]

SEC Investigations Related to Messaging Apps | Maxwell Baker Reacts

Vigilant Insights Vigilant’s own, Maxwell Baker, Esq., was quoted in InvestmentNews related to the SEC’s continued investigations into the use of messaging apps by employees of registered firms. […]

SEC Increase On Recordkeeping For Exams | Brian Dillon’s Insights

Vigilant Insights Vigilant’s Director, Brian Dillon, was quoted in a Board IQ article regarding recent examination document production requests from the SEC related to the use of text messages and […]

15 Compliance Considerations Amid Banking Crisis

Vigilant Insights Brief Introduction Like many, Vigilant is closely monitoring the impact that the present banking crisis has on certain RIAs. We recognize that the current environment […]

Repeat Violations by Advisors’ Parents | Fred Teufel Reacts

Vigilant Insights Vigilant’s Director and Industry Veteran, Fred Teufel, was quoted in BoardIQ on repeat violations by Advisors’ Parents, which is causing concern at the Fund Director […]