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Staff 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 […]

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5 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 […]

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$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 […]

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$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 […]

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Vigilant 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 […]

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Important 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 […]

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Staying 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 […]

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Multiple 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 […]

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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 […]

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Risk 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 […]

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October 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 […]

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Risk 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 […]

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