Vigilant Insights
Top SEC Releases and Vigilant Insights from 2023
Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024, it is important to look […]
Read MoreHow to Prepare for an SEC Examination | Vigilant Insights
Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of being prepared. SEC Examinations can be […]
Read MoreAI Risks for Institutional Investors | Fred Teufel Insights
Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in a […]
Read MoreRule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ
Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5 Valuation Rule on a Video […]
Read MoreSEC Continues Sweep for AI | Chuck Martin Insights on FundFire
Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to a recent Wall Street Journal article, Vigilant’s […]
Read MoreSEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ
Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With the SEC’s Proposed Rule related to AI use […]
Read MoreAI and SEC Exams – Fred Teufel and CJ Schaible Insights
Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected to discuss their policies and […]
Read MoreFINRA Projected Performance Proposal | Thayne Gould Insights
Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain securities to institutional investors or […]
Read MoreSEC Exams Heightened Focus on Tech | Fred Teufel Insights
Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and Boards, with particular mention of […]
Read MoreSEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights
Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in history, with the highest being […]
Read MoreBest Practices for Keeping your RIA Compliant
Vigilant Insights Introduction There is a significant amount of regulatory requirements as a Registered Investment Adviser (“RIA”). Requirements which include a breadth of topics, some of which […]
Read MoreComplying with the Marketing Rule 1 Year Later | Thayne Gould Insights
Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there have been multiple enforcements by the SEC which […]
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