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Vigilant’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 […]
Read More5 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 […]
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