Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.

 

Private Equity Enforcement Action

May 27, 2020

On May 26, 2020, Los Angles based private equity firm managing over $100 Billion in RAUM, Ares Management, LLC, agreed[...]

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FINRA Announces Fraudulent Email Phishing Campaign

May 22, 2020

Recently the Financial Industry Regulatory Authority (FINRA) announced that there are fraudulent email campaigns going around purportedly from them. These emails are[...]

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New Reg BI FAQs: June 30th Compliance Date

May 12, 2020

The SEC’s Staff of the Division of Trading and Markets has released an FAQ to its most frequently asked questions on Regulation Best[...]

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SEC Releases an FAQ on COVID-19 Efforts

April 27, 2020

The FAQ that the SEC released encompasses their efforts and their impacts for firms and funds due to COVID-19. The[...]

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Questions The SEC is Asking Advisers Amidst COVID-19

April 09, 2020

The SEC’s OCIE (Office of Compliance Inspections and Examinations) is doing their best to be fully operational nationwide. They have[...]

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OCIE to Complete Inspections for Compliance with Regulation Best Interest and Form CRS

April 07, 2020

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released risk alerts regarding examinations for compliance with Regulation Best Interest[...]

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SEC Provides Temporary Flexibility to Registered Investment Companies

March 25, 2020

The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds[...]

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Smarsh Currently No Longer Archiving Twitter

March 23, 2020

Smarsh recently announced to its clients that they will no longer legally be allowed to Collect Data from an Organization’s Communication on[...]

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Tips for CCOs During COVID-19 Market Stress

March 19, 2020

As the Global Pandemic COVID-19’s impact continues to grow there are a few things Investment Managers should consider while keeping[...]

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ADV Filing and Form PF Requirements Are Extended by the SEC

March 18, 2020

On March 13, 2020, the SEC announced they will be providing conditional relief from specific Form PF and Form ADV[...]

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Vigilant Compliance Update on COVID-19

March 16, 2020

As the COVID-19 (“Coronavirus”) situation continues to evolve, the safety of our team members and clients is paramount. Similar to[...]

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Division Of Investment Management Actively Monitoring Effects Of COVID-19 On Advisors And Funds

March 06, 2020

As a result of the current and potential effects of Coronavirus (“COVID-19”), the staff at the Division of Investment Management is[...]

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