Vigilant Insights
Compliance Risks from Political Contributions | Donna DiMaria Insights
VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year. This topic can be complex […]
Read MoreFirms Struggling with the Marketing Rule | Will Clark Insights
VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private Funds and Separately Managed Account […]
Read MoreDangers 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 […]
Read MoreSEC 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 […]
Read MoreFiduciary 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 […]
Read MoreMisleading 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 […]
Read MoreImportance 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 […]
Read MoreVigilant 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 […]
Read MoreA 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 […]
Read MorePotential 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 […]
Read More7 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 […]
Read MoreElectronic 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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