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SEC Proposes Multiple Rule Changes to Protect Investors
Brief Introduction On Friday, February 25th, the SEC announced the release of proposed Rule changes to Short Sale Disclosures, Order Making Requirements, and CAT Amendments. 4 Takeaways […]
Read MoreVigilant Marketing Rule Survey Results
Marketing Rule Industry Results Thank you to everyone that took the time to fill out our Marketing Rule Survey! Below are Key Takeaways from the Results we […]
Read MoreSEC Proposes First Cyber Rule for RIAs and Funds
Brief Introduction On Wednesday, February 9th, the SEC released their Proposed Rule on Cybersecurity Risk Management and Amendments for Registered Investment Advisers and Funds. Vigilant’s Chief […]
Read MoreVigilant Monthly Newsletter | January 2022
In January, we saw important Risk Alerts, SEC Staff Releases, and important insights from Vigilant. Below is a brief overview of what took place in […]
Read MoreVigilant’s 2022 Compliance Calendar
As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2022 Regulatory Filings Calendar, which includes Filing Deadlines, Compliance Dates, and more. […]
Read MorePrivate Fund Adviser Deficiencies | EXAMS Risk Alert
On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4 key areas examined during EXAMS observations: […]
Read MoreProposing to Amend Form PF | SEC Release
On Wednesday, January 26th, the SEC announced that they voted on proposed amendments to enhance Private Fund Reporting. The goal of these proposed amendments is to assess systematic […]
Read MoreSEC Chairman Update On Cybersecurity And Securities Laws
On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating to where improvements can be […]
Read More70% of Compliance Functions are Under Resourced | Vigilant Insights
The National Society of Compliance Professionals (NSCP) has proposed a Chief Compliance Officer liability framework that focuses more on organizational support and resources. They have conducted multiple industry […]
Read More6 Effective Compliance Strategies for 2022 | Vigilant Insights
With new Rules and Regulations taking effect this year like the new Marketing Rule, Derivatives Rule, and more, it is important develop an effective Compliance Strategy to comply […]
Read MoreVigilant Monthly Newsletter | December 2021
December brought some important SEC Releases and important insights from Vigilant as we ended 2021. Below is a brief overview of what took place in […]
Read MoreStaff Statement Regarding Form CRS Disclosures for 2022
Staff Statement Regarding Form CRS Disclosures for 2022 | SEC Releases As the new year begins, the SEC released a statement regarding Form CRS disclosures. The Committee […]
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