Blog
SEC 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 […]
Read MoreSEC 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 More