SEC Release Archives - Vigilant LLC

SEC Releases 2022 Examination Priorities

Brief Introduction to the 2022 Examination Priorities On Wednesday, March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities. Vigilant has broken down the key […]

Private Fund Adviser Deficiencies | EXAMS Risk Alert

On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4 key areas examined during EXAMS observations: […]

SEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures

SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions for failures in their cybersecurity […]

SEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO

SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and its Associated Individuals for providing […]

SEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors

SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]

SEC Commissioner Provides Updates Towards Climate, ESG, and More

SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there were large discussions on Climate […]

ESG Rules Update from Commissioner Elad L. Roisman

Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC will make them sustainable. The […]