Vigilant Insights Archives - Page 11 of 15

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 […]

In Need of a Cost-Effective Compliance Solution?

Vigilant Insights Who Is This Applicable To? Registered Investment Advisers (“RIAs”) Mutual Funds Exchange Traded Funds (“ETFs”) Broker Dealers Firms meeting the requirements for SEC […]

SEC Amendments to Form 13F Are Now in Effect

Vigilant Insights Brief Introduction The amendments for Form 13F announced in June 2022 have taken effect January 3rd, 2023. The SEC made these amendments to require certain paper filings to […]

SEC Plans to Finalize Multiple Proposed Rules for 2023

Vigilant Insights Brief Introduction The SEC proposed twenty-four rules in 2022. According to recent announcement, the rules are expected to be potentially finalized in their entirety […]

“On The Fly Compliance” Will No Longer Fly With Current Regulatory Environment

Vigilant Insights Brief Introduction The SEC charged close to $6.4 billion to firms and individuals in 2022, a record setting number. Maximum penalties are being pursued by […]