Blog
SEC 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 […]
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 More