SEC Adopts Amendments to Regulation S-P
May 16, 2024SEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These amendments will apply to the […]
Years of Collective Experience in the Financial Services Industry.
Years Providing Compliance Services since August 15th, 2004.
Approx. in Client Assets Under Management.
Every CCO at Vigilant has extensive experience in the Investment Industry ― and each exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.
Vigilant was established on August 15, 2004. Vigilant is a full service Investment Management Solutions Firm providing, Investment Adviser Compliance Solutions, Mutual Fund Compliance Solutions, Broker Dealer Compliance Solutions, and Compliance Consulting to a diversified range of investment management clients.
About Us Our TeamEvery CCO at Vigilant has extensive experience in the Investment Industry ― and each exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.
Read all insightsSEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These amendments will apply to the […]
SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into how the SEC leadership values accurate […]
VIGILANT INSIGHTS Introduction As the Marketing Rule continues to be a major topic for enforcement in 2024, it would be prudent for Firms to have […]