Blog
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 […]
Read MoreDivision 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 […]
Read MoreIs 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 […]
Read MoreVigilant’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 […]
Read MoreVigilant’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 […]
Read MoreVigilant’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 […]
Read MoreVigilant: 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 […]
Read MoreWhite 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., […]
Read MoreVigilant’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 […]
Read MoreVigilant’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 […]
Read MoreDivision 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 […]
Read MoreCompliance 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 […]
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