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EXAMS Issues Reminder For The Marketing Rule Compliance Date
Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them about the compliance date for […]
Read MoreSEC Fines RIA $760k+ Over Wrap Fees
Brief Introduction | SEC Fines RIA $760k+ Over Wrap Fees Recently, the SEC fined an RIA Firm over $760,000+ over Wrap Fees. The RIA and its advisors […]
Read MoreVigilant Monthly Newsletter | April 2022
For April’s version of Vigilant’s Monthly Newsletter, we saw important SEC Proposed Rules, Risk Alerts, and important insights from Vigilant. Below is a brief overview […]
Read MoreRISK ALERT | Investment Adviser MNPI Compliance Issues
Brief Introduction On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and the Code of Ethics Rule […]
Read MoreVigilant’s COO, Chuck Martin, Quoted In BoardIQ On 2022 Exam Priorities
Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in BoardIQ where he discussed his initial thoughts and analysis towards the 2022 Exam Priorities. […]
Read MoreSEC Proposes Rules Towards SPACs, Shell Companies, and Projections
Brief Introduction The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special purpose acquisition companies (SPACs), as […]
Read MoreVigilant Monthly Newsletter | March 2022
In March, we saw important SEC/FINRA Releases and important insights from Vigilant. Below is a brief overview of what took place in the month of […]
Read MoreSEC Releases 2022 Examination Priorities
Brief Introduction to the 2022 Examination Priorities On Wednesday, March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities. Vigilant has broken down the key […]
Read MoreSEC Proposes Rules for Climate-Related Disclosures
Brief Introduction The SEC released proposed rule changes for certain climate-related disclosures on March 21st to provide investors with consistent, comparable, and decision-useful information for making their investment […]
Read MoreFINRA Provides A Reminder Towards CCO Liability
Brief Introduction to New FINRA Release FINRA released a Regulatory Notice on Friday, March 17th, stating that they consider the role of the Chief Compliance Officer (“CCO”) […]
Read More7 Tips to Prevent a Cyber Attack for Advisor Firms and Their Clients
Brief Introduction FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations. Preventing a Cyber Attack is […]
Read MoreVigilant Monthly Newsletter | February 2022
In February, we saw important SEC Releases and important insights from Vigilant. Below is a brief overview of what took place in the month of […]
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