Vigilant Insights
First 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 More18 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 […]
Read MoreMaintaining 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 […]
Read MorePreparing 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 […]
Read MoreMarketing 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 […]
Read More5 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 […]
Read MoreReg 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 […]
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