SEC Ad Rule gets an Official Date in Effect for May 4th
March 8, 2021After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White House we now have a set […]
Vigilant
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.
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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.
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Division of Examinations Announces 2021 Examination Priorities
March 4, 2021The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related risks. It is important to note […]
Division of Examinations Announces 2021 Examination Priorities
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Is Remote Work Not The New Normal?
February 25, 2021David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to make sure that you do […]