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5 Ways Vigilant Can Help You Start 2022 Strong | Vigilant Insights
5 Ways Vigilant can Help You Start 2022 Strong | Vigilant Insights As we transition into the new year, it is important to have a strong […]
Read More$4.5 Million Fine for Fee and Expense Disclosures | SEC Releases
Fee and Expense Disclosure Failures | SEC Releases On Monday, December 20th, the SEC released an Order announcing that they charged an RIA $4.5 Million for Fee and […]
Read More$200 Million Fine Over Employee Text Messages | News & Alerts
News & Alerts According to a Wall Street Journal article written on Monday, December 13th, a well known Investment Banking Company is working towards the […]
Read MoreVigilant Nominated for Best Compliance Advisory Firm | 2022
Vigilant Announcements | 2022 Best Compliance Advisory Firm Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations […]
Read MoreImportant Items You May Have Missed In November
Vigilant Newsletter | November 2021 November brought some important Risk Alerts and important insights from Vigilant on “Preparing for 2022”. Also, there are important upcoming filings […]
Read MoreStaying Ahead in 2022 | How to be Prepared
Establish A Plan Of Action For 2022 | Vigilant Insights Preparing for 2022 With the new year rapidly approaching, it is important (as life […]
Read MoreMultiple Deficiencies Found Relating to Advisers’ Fee Calculations
SEC Releases | Risk Alert The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 10th, concluding that the Division Staff completed a national initiative that focused […]
Read MoreVigilant Thanks All Our Country’s Veterans This November 11th
Happy Veterans Day from Vigilant | We Thank Those who Served on Veterans Day Vigilant would like to wish everyone that served our country, including […]
Read MoreRisk Alert | “Division” Examines Advisers Providing Electronic Investment Advice
SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 9th, with the goal […]
Read MoreOctober 2021 Recap | Vigilant Monthly Newsletter
Vigilant Newsletter | October 2021 October brought some important insights from the thought leaders at Vigilant, our Marketing Rule Webinar Replay, and important SEC […]
Read MoreRisk Alert | RIC Initiatives Examined by the “Division”
Observations from Examinations in the Registered Investment Company Initiatives October 26, 2021 Summary: Focus: The SEC examined more than 50 fund complexes, more than […]
Read MoreStruggling to keep up with Compliance?
Vigilant Insights You are not alone Do you find that your day is filled with “putting out fires” ? Is there not enough time to […]
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