Vigilant Monthly Newsletter | June 2022
July 1, 2022In June, we saw important SEC Releases, SEC Charges, important insights from Vigilant, and an adopted new Rule. Below is a brief overview of what […]
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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SEC Imposes Largest Penalty Ever Against an Audit Firm
June 30, 2022Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA Ethics Exam and withholding evidence […]
SEC Imposes Largest Penalty Ever Against an Audit Firm
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SEC Adopts Rules to Require Electronic Filings
June 28, 2022Brief Introduction On Thursday, June 23rd, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to […]