Blog
5 Forecasted Trends in Compliance after Q1
We’ve Compared 2022 vs. 2021 Priorities Here As Q1 comes to an end, we have seen a lot of forecasted trends for 2021 already […]
Read MoreEXAMS Provides a Risk Alert on their Review of ESG Investing
On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently, there has been increasing investor […]
Read MoreVigilant Newsletter for March 2021
As Q1 comes to an end there are lots of important Announcements and Industry Updates! One of the most awaited updates came early this month […]
Read MoreDivision of Examinations Provides a Risk Alert Regarding AML Requirements
On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds on their compliance with AML […]
Read MoreExpectations from FINRA’s 2021 Report on Examination and Risk Monitoring Programs
FINRA released its report on Risk Monitoring and Examination Activities which is designed to provide annual insights from FINRA’s ongoing regulatory operations and inform member firms’ compliance programs. […]
Read MoreVigilant February 2021 Recap
As Spring is rolling in, so are a lot of Announcements and Industry Updates! One of the most awaited updates was this past week. The […]
Read MoreOctober 2020 Recap
Hello November! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of October and some reminders for the end of the year! (2021 […]
Read MoreDo I need Expert Support for my Compliance Program or should I Outsource the role of CCO?
Trying to distinguish what the differences are between Outsourcing your CCO and Compliance Support? Below are key highlights of what Outsourcing your CCO encompasses versus […]
Read MoreCompliance Recap: September 2020
In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of September and some reminders for the upcoming months. New Rules, Regulations, and Guidance […]
Read MoreFINRA Announces Fraudulent Email Phishing Campaign
Recently the Financial Industry Regulatory Authority (FINRA) announced that there are fraudulent email campaigns going around purportedly from them. These emails are posed to be from some […]
Read MoreOCIE to Complete Inspections for Compliance with Regulation Best Interest and Form CRS
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released risk alerts regarding examinations for compliance with Regulation Best Interest (“Reg-BI”) and Form CRS. These […]
Read MoreSalvatore Faia to Speak at the ETF Regulations Readiness Summit
Update: This event has now passed. Please contact us for similar event recommendations. The ETF Regulations Readiness Summit will take place this year at the […]
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