Blog

What Is a Compliance Risk Matrix & Why Is It So Important?

Risk, for businesses, is any threat that gets in the way of a company’s goals. Compliance risks are anything that threatens your company’s reputation, organizational […]

Read More

Mutual Fund Compliance: An Overview of What You Need to Know

There continues to be new rules and regulations that impact Mutual Funds, and other Registered Funds. Recent changes like the new derivatives rule and marketing […]

Read More

2021 SEC Examination Priorities vs. 2022 SEC Examination Priorities

Brief Introduction to the 2022 SEC Examination Priorities With the release of the 2022 SEC Examination Priorities at the end of March, it is valuable […]

Read More

The Marketing Rule One Year Later

Brief Introduction to the SEC’s Marketing Rule Priorities in 2022 With the SEC Marketing Rule becoming effective November 4th, 2022, it is important to revisit […]

Read More

Speaker Spotlight -Michael McGrath, Esq., CFA, on the New SEC Marketing Rule Webinar

  In preparation for our Webinar “Perspectives on Implementing the New SEC Marketing Rule” on October 6th, @ 12-1:30pm, we are highlighting our accomplished and credible speakers. […]

Read More

Perspectives on Implementing the New SEC Marketing Rule Webinar

Unique from other Marketing Rule Webinars you may have attended, this Webinar will provide you with the necessary information to implement the new rule into […]

Read More

10 THINGS EVERY BROKER-DEALER NEEDS TO KNOW ABOUT FINRA RULE 2210

FINRA Rule 2210 is a comprehensive regulation governing the approval, review and recordkeeping of a broker-dealer’s communications and correspondences. It also concerns their filing requirements and […]

Read More

July 2021 Recap

July 2021 Recap| Monthly Newsletters In the month of July there were many important SEC Releases and Risk Alerts, as well some insights and takeaways from the thought leaders […]

Read More

Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs

Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs | SEC Releases On July 21st, […]

Read More

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July 21st, the Division of Examinations […]

Read More

Mutual Fund to ETF Conversion

Mutual Fund to ETF Conversion | Vigilant Insights What steps are you taking in this vital structural decision? According to ETF.com, there has been $900 billion […]

Read More

June 2021 Compliance Recap

Compliance Recap June 2021 | Monthly Newsletter  In the month of June there were many important SEC Releases, as well as quite a few insights and takeaways from […]

Read More