Vigilant Insights Archives - Page 9 of 15

SEC 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 […]

SEC 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 […]

Best 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 […]

Complying 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 […]

8 Important Considerations for Dual-Hatted CCOs

Vigilant Insights Brief Introduction It is common practice that some small and medium-sized Firms will have a CCO that also has additional job titles/responsibilities (e.g., President, […]

Preparation Required for New Cybersecurity Rules

Vigilant Insights Brief Introduction In a recent Deloitte Survey, 26% of Firms surveyed have not prepared for the new SEC cybersecurity rules. With differing effective dates based on size, Firms will […]

ETF Class | Salvatore Faia (President & CEO) Insights

Vigilant Insights Introduction Dimensional Fund Advisors has a pending application with the SEC with the hope of expanding the exemptive relief that Vanguard had previously obtained around twenty years ago. […]

Recent Marketing Rule Enforcements | Thayne Gould Reacts

Vigilant Insights Brief Introduction The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance. These charges emphasize the SEC’s focus on marketing […]

Major Overhaul of Resources for AI Proposal | Fred Teufel Insights

Vigilant Insights Brief Introduction The SEC’s rule proposal related to artificial intelligence (“AI”) and data analysis has made waves in the Registered Investment Adviser (“RIA”) industry. As firms […]

Marketing Rule Sweeps | Bernadette Murphy Insights

Vigilant Insights Brief Introduction As the SEC continues to announce violations related to the Marketing Rule, Firms are understandably worried about their performance if they are included in an […]

Interval Fund Faces Valuation Issues | Fred Teufel Reacts

Vigilant Insights Brief Introduction Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in an Ignites article recently discussing a request made to the SEC by a $44 […]

Importance of Maintaining Records of Communications | Will Clark Insights

Vigilant Insights Off-channel communication violations continue to be a costly compliance mistake in the securities industry. Almost $549 million in fines have been handed out in the past month. In […]