Vigilant

Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights on Barron's regarding a recent charge against a Fund Manager on Trade Allocations. In the article, Salvatore emphasized that Firms must have Trade Allocation Procedures that provide proportional and fair allocations to their clients in order to meet their fiduciary obligations. With Fiduciary Duty being an Exam Priority for the SEC in 2025, Salvatore warns that the SEC is looking for Preferential Treatment of clients by Advisers. To view his full in-depth insights, click the direct link here: https://lnkd.in/egfuJas2 #Barrons #TradeAllocations #VigilantInsights

Happy Thanksgiving from Vigilant everyone! #Thanksgiving

The SEC has released their enforcement results for fiscal year 2024. This year was a record-setting year for financial penalties and remedies. As SEC Chair, Gary Gensler’s tenure comes to a close in January, compared to former SEC Chair, Jay Clayton, we have seen a marginal difference in the number of enforcement actions throughout their tenures; however, the monetary number of fines (in billions) have nearly doubled during Gensler’s time. In our coverage of the enforcement results, we focused on the comparison of enforcement results from 2023 to 2024 and the key enforcement areas. To view our full release on the 2024 SEC enforcement results, click the direct link here: https://lnkd.in/ecYvbZyp #2024SECEnforcementResults

Vigilant Managing Director, Bernadette Murphy, MSL, was Live at #SchwabIMPACT with Charles "Chuck" Failla, CFP® on #goRIA (InvestmentNews) covering the topic of RIAs launching Registered and Private Funds. Throughout the discussion, the following was covered below: 📚 Background of Registered and Private Funds 🔎 Why You Should Consider Launching a Registered or Private Fund 🚨 Compliance considerations to be aware of when launching a Registered or Private Fund If you are considering launching a Registered or Private Fund, contact Vigilant to learn more about how we can help guide you through that process and support you from an on-going compliance perspective. Contact Us: https://lnkd.in/eP2jaNZd #FundLaunches #VigilantInsights

Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm by With Intelligence for their 2025 Operations and Services Awards. In 2024, Vigilant was selected as the Best Compliance Advisory Firm by With Intelligence and is hoping for a repeat again in 2025! The selection process is determined by a diverse judges panel of leading fund COOs, CFOs, CCOs, GCs, and CTOs. To view the full shortlist, click here: https://lnkd.in/egvvyXb7 #BestComplianceAdvisoryFirm

Today marks the last day to connect with Bernadette Murphy, MSL and Christofer (CJ) Schaible, MBA at IMPACT 2024! Vigilant Yeti’s are close to running out and we are on the last day for the Vigilant JBL Speaker giveaway. Be sure to stop by and say hi (Booth TECH15), and learn more about how Vigilant can help streamline your compliance program through a partnership driven approach. #SchwabIMPACT

In this Vigilant Insights release, we have covered important Compliance Concerns heading into 2025 for firms to be aware of. The key areas we covered are listed below. 💻 Artificial Intelligence (AI) 📲 Off-Channel Communications 📊 Marketing Rule To view our insights on the areas above, click the direct link here: https://lnkd.in/ebwz_CjU #2025ComplianceConcerns #VigilantInsights

Vigilant has arrived for IMPACT 2024! Be sure to stop by Booth TECH15 for a chance to win custom Vigilant JBL Speakers (One Giveaway Per Day), Vigilant Yeti’s, and more! #SchwabIMPACT

With a new administration entering the White House in 2025, some are speculating that the regulatory climate the industry has faced for the past four years may lessen in its intensity. The Marketing Rule, with its obvious role in investor protection, will likely be one example of regulation that continues in the new administration. In a recent FundFire article, Vigilant Director, Will Clark, CIPM, MBA, discussed his expectations on what may change in 2025 and thoughts surrounding the Marketing Rule as well. To view Will's insights and our conclusion, click here: https://lnkd.in/eMZ379VX #MarketingRule #VigilantInsights

Be sure to connect with our Managing Director, Bernadette Murphy, MSL and Vice President of Sales and Business Development, Christofer (CJ) Schaible, MBA at IMPACT®2024 (Booth Location: TECH15) next week (11/19 - 11/21)! To meet with them directly at our Booth, please stop by at any time (and be sure to grab Vigilant Swag!) or schedule a meeting directly through CJ at [email protected]. #SchwabIMPACT