Blog
Expectations 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 […]
Read MoreMutual Funds + Investment Management Conference
Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm Desert, California. Today’s funds face […]
Read MoreHow Firms Can Work to Protect Senior Investors
Baby boomers are growing older, and that is transforming our national demographics. By 2035, it is estimated that 78 million senior citizens will live in the United […]
Read MoreHow to Prepare for an SEC Examination
No matter how smoothly your firm operates or how diligent your compliance team is, the prospect of an SEC examination strikes fear, stress and anxiety […]
Read MoreThe Impact of GDPR on the Asset and Wealth-Management Industry
Regarded as the largest data regulation act in modern European history, the General Data Protection Regulation (GDPR) has taken the compliance world by storm. Adopted […]
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