Vigilant Insights
Importance 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 […]
Read MoreTop 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 […]
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