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Vigilant 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 […]
Read MoreSEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act
SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act Regal Investment Advisors, LLC (“Regal”) failed to […]
Read MoreSeptember 2021 Recap | Vigilant Monthly Newsletter
Vigilant Newsletter | September 2021 In Case You Missed It: Due to the overwhelming demand for our New Marketing Rule Webinar on Wednesday, […]
Read MoreSEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024
SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need to forbid trading in approximately […]
Read MoreAugust 2021 Recap | Vigilant Newsletter
Vigilant Newsletter | August 2021 Compliance Recap In the month of August there were many important SEC Releases, as well some insights and takeaways from […]
Read MoreSEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures
SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions for failures in their cybersecurity […]
Read MoreSEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO
SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and its Associated Individuals for providing […]
Read MoreSEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors
SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]
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