Compliance Archives - Vigilant LLC

Increased Compliance Investments Indicated by Survey

News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our aggressive regulatory climate. We discussed […]

New Rule Adopted by SEC, Along with Two Proposals

SEC RELEASES Brief Introduction On July 26th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident Disclosure. They also announced two […]

Maintaining 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 […]

High Demand for Mock Exams

NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule releases, billions in financial punishments, […]

Key Takeaways from House Committee Letter to SEC Chairman

NEWS AND ALERTS Brief Introduction On June 28th, the House Financial Services Committee sent a letter to SEC Chairman, Gary Gensler, related to document requests […]

RIAs Understand the Importance of Compliance to Their Success

NEWS AND ALERTS Brief Introduction In a recent article by InvestmentNews, RIAs throughout the industry report on the importance of compliance to their success. At […]

AI Use for Private Equity Firms remains Questionable

News and Alerts Brief Introduction Compliance officers of Private Equity Funds have generally taken a cautious approach to allowing employees to use artificial intelligence (“AI”). […]

5 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 […]

Struggling to keep up with Compliance?

Vigilant Insights You are not alone Do you find that your day is filled with “putting out fires” ? Is there not enough time to […]