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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. […]
Read MoreOCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices
The Office of Compliance Inspections and Examinations (OCIE) conducted examinations focusing on SEC-registered investment advisers operating from multiple branch offices and with operations geographically dispersed from the […]
Read MoreThe Unprecedented Future of Working Fully Remote
Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”, the potential long term implications for your […]
Read MoreTop 5 Common Misconceptions with Compliance
Tips if you are considering overseeing a Compliance Program all by yourself Here are the Top 5 misconceptions with Compliance that you need to know: […]
Read MoreCyberSecurity Threat Mitigation Checklist
Vigilant is a trusted provider of cybersecurity consulting services. Check out our cybersecurity services to keep your firm protected from cyber-attacks. If you have any […]
Read MoreOCIE Releases Risk Alert for Broker-Dealers and Investment Advisers
On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and Broker-Dealers. The OCIE identified numerous […]
Read MoreMulti-Billion Dollar Fund Complex Selects Herald Investment Marketing as their Preferred Provider
Herald Investment Marketing (“HIM”) is pleased to announce that it has recently been selected as the Preferred Provider of Principal Underwriter/ Distributor services for a […]
Read MoreSEC Whistleblower Payouts and What It Means for You
The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual who recorded misconduct by a […]
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