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Mandatory Disclosures | Gensler Discusses at Columbia Law
SEC RELEASES Introduction On March 22nd, SEC Chair, Gary Gensler, spoke at a Columbia Law School conference. He discussed the importance of mandatory disclosures in […]
Read MoreSEC Commissioner, Mark Uyeda, Discusses the Administrative State
SEC Releases Introduction SEC Commissioner, Mark Uyeda, recently addressed the Council of Institutional Investors on the administrative state. He voiced his concerns at the growth […]
Read MoreRIA Censured for Compliance Failures | SEC Fines
SEC Releases Brief Introduction A Registered Investment Adviser was censured and fined $75,000, and its CEO/CCO was fined $25,000, after multiple compliance violations over an extended period […]
Read MoreSEC 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 […]
Read MorePrivate 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: […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read MoreESG 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 […]
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