developer, Author at Vigilant LLC

SEC Ad Rule gets an Official Date in Effect for May 4th

After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White House we now have a set […]

Division of Examinations Announces 2021 Examination Priorities

The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related risks. It is important to note […]

Is Remote Work Not The New Normal?

David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to make sure that you do […]

Vigilant’s 2021 Compliance Calendar

The Thought Leaders at Vigilant have created a 2021 Compliance Calendar for keeping track of important due dates this year. This content piece is helpful […]

Vigilant’s January Recap Newsletter

2021 started off strong providing everyone with insightful information for the New Year. Vigilant would like to highlight some important takeaways from the month of […]

Vigilant’s Managing Director, Patrick Chism, Provides Insights towards Reg BI Exams

On February 5th, Financial Planning provided a publication on FINRA expecting to see significant progress in firms compliance policies and procedures around Regulation Best Interest. They […]

Vigilant: A Full-Service Investment Management Solutions Firm

Today’s the day! We have some exciting news to share, and now we are here to unveil it. Click the video HERE to view Vigilant’s […]

White House – Effect on New Marketing Rule

Last week, the White House released an important announcement stating that there will be a 60 Day Delay on new rules that have not taken effect yet this year (e.g., […]

Vigilant’s Guidance on the New SEC Marketing Rule

On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated update, as it will bring […]

Vigilant’s Important Announcement for the New Year!

In less than 2 weeks Vigilant has some very exciting news to unveil! This news is based off of the growth of our company and exciting […]

Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies

The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other market participants to investments in […]

Compliance Recap: December 2020

As 2020 comes to an end, we would like to highlight some important takeaways from the month of December and some reminders for the start […]