Blog

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 […]

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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 […]

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Vigilant’s COO, Chuck Martin, Provides Insights Towards the New Advertising Rule

Last week we saw the SEC unanimously pass the Advertising Rule for Investment Advisers as well as a rule that governs payments to solicitors. To […]

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SEC Adopts Modernized Marketing Rule for Investment Advisers

The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to modernize rules that govern investment […]

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SEC Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers

The SEC came out with a Risk Alert yesterday (12/17) regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Here are some expectations from this […]

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5 Ways Vigilant can Help YOU Gain a Competitive Advantage in 2021.

With unprecedented uncertainty heading into 2021 it is important to have a strong Compliance program and gain a competitive advantage heading into the new year. […]

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Vigilant Nomination for Best Compliance Advisory Firm

Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2021. The Fund Intelligence Operations […]

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Framework For Fund Valuation Practices: Rule 2a-5

The SEC made an announcement today (12/03) stating that they have adopted a new rule (2a-5) that establishes an updated regulatory framework for fund valuation […]

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Vigilant: November 2020 Compliance Recap

It’s December Already! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of November and some reminders for the end of the year/ NEW […]

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The Role of the CCO

OCIE’s Director Pete Driscoll, yesterday spoke at the SEC’s outreach program, sharing his views of the role of an Adviser’s CCO. In addition, on November […]

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OCIE Risk Alert: Investment Advisor Compliance Programs

Today, November 19th, 2020, The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert for Investment Advisor Compliance Programs noting significant compliance issues related to Rule […]

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Vigilant Names Top Industry Veteran to Lead Its Broker/Dealer Division

Herald Investment Marketing, a leading provider of Principal Underwriting and Registered Representative Services for Mutual Funds and ETFs, has named John Brett as President.   […]

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