Blog

Vigilant Announces ESG Webinar Hosted with Paul Hastings, LLP on May 25th, 2021

Over the past few weeks, months, and in recent years, ESG has gained more popularity from investors, money managers, and even regulators. We’ve heard from clients and […]

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Vigilant’s Snap Shot and Guidance on the SEC Marketing Rule

  As the SEC Marketing Rule’s Effective Date approaches on May 4th (Compliance Date is November 22nd, 2022), it is important to have a strong understanding of what […]

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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 […]

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EXAMS 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 […]

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Vigilant 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 […]

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Division 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 […]

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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. […]

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Vigilant 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 […]

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Vigilant’s Director, Justin Dausch, Provides Insights towards the Ad Rule and its effect on Social Media

On February 22nd, Ignites provided a publication on the Ad Rule and how it may push shops to ban social media. Professionals are saying that fund shops […]

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Do 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 […]

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FINRA 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 […]

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OCIE 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 […]

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