developer, Author at Vigilant LLC

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 […]

Download Materials from our ESG Investing Webinar

Supplemental Materials from Asset Managers Guide to ESG Investing Webinar ESG Investing Webinar Deck VA ESG Presentation PH Impact Investing Exam Provides a Risk Alert […]

Vigilant Insights Rule 6c-11

Vigilant has provided content on Rule 6c-11 for Advisors. Managing Director, Perpetua Seidenberg, CPA, MBA, IACCP provided insights and comments towards the Rule. Below will […]

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

View 2022’s Marketing Rule Priorities On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated […]