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How 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 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 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 Will Increase Examiners With Budget Increase
NEWS AND ALERTS Brief Introduction SEC Chairman, Gary Gensler, spoke with senators last week about his plans for the $194 million dollar increase in funds […]
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