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SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be on Tuesday, November 15th, at 8:30 […]
Read MoreSEC Charges $35 Million Over Failures to Protect “PII”
SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm with a $35 Million penalty over […]
Read MoreRisk Alert “Reminder” | New Marketing Rule
EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”), released a Risk Alert towards upcoming review […]
Read MoreVigilant Shortlisted As Best Regulatory & Compliance Firm
Vigilant Shortlisted as Best Regulatory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted for our third award this week as the Best Regulatory & […]
Read MoreVigilant Shortlisted As Best Regulatory Advisory & Compliance Firm
Vigilant Nominated as Best Regulatory Advisory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory Advisory & Compliance Firm for the Hedgeweek […]
Read MoreSEC Charges 9 Investment Advisers on Custody Rule and ADV Violations
Brief Introduction On September 9th, the SEC charged 9 investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their SEC […]
Read MoreVigilant Shortlisted As Best ETF Regulatory/Compliance Adviser
Vigilant Nominated as Best ETF Regulatory/Compliance Adviser Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for the ETF Express US ETF […]
Read MoreVigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Quoted in Ignites on the Newly Effective Fair Value Rule
Brief Introduction Chuck Martin and Ryan Hurley were both quoted in Ignites providing their thoughts and insights towards the SEC’s Fair Value Rule that is now effective as of today, September 8th, […]
Read MoreVigilant’s COO, Chuck Martin, Quoted in BoardIQ on the SEC’s Drafted Strategic Plan
Brief Introduction Chuck Martin, MBA, was quoted in BoardIQ providing his thoughts and insights towards the SEC’s Drafted Strategic Plan that was originally released on August 24th, 2022. […]
Read MoreVigilant Monthly Newsletter – August 2022
Vigilant Monthly Newsletter In this edition of Vigilant’s Monthly Newsletter for August, we saw a heavy amount of content which included important SEC Releases, an […]
Read MoreCompliance Date Reminder | New SEC Rule 2a-5 on Good Faith Determination of Fair Valuation
Who Does This Rule Apply To? The New SEC Rule 2a-5 of the Investment Company Act of 1940 applies to all Registered Investment Companies & Business Development Companies […]
Read MoreSEC Investor Alert | Social Media and Investment Fraud
Brief Introduction On Monday, August 29th, the SEC’s Office of Investor Education and Advocacy sent out an Investor Alert relating to Social Media and Investment Fraud. There was coverage […]
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