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.


EXAMS Provides a Risk Alert on their Review of ESG Investing

April 12, 2021

On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently,[...]

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Vigilant Insights Rule 6c-11

April 07, 2021

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

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Vigilant Newsletter for March 2021

April 07, 2021

  As Q1 comes to an end there are lots of important Announcements and Industry Updates! One of the most awaited[...]

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Division of Examinations Provides a Risk Alert Regarding AML Requirements

March 29, 2021

On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds[...]

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Expectations from FINRA’s 2021 Report on Examination and Risk Monitoring Programs

March 12, 2021

FINRA released its report on Risk Monitoring and Examination Activities which is designed to provide annual insights from FINRA’s ongoing regulatory operations and[...]

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Vigilant February 2021 Recap

March 10, 2021

As Spring is rolling in, so are a lot of Announcements and Industry Updates! One of the most awaited updates[...]

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SEC Ad Rule gets an Official Date in Effect for May 4th

March 08, 2021

After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White[...]

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Division of Examinations Announces 2021 Examination Priorities

March 04, 2021

The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related[...]

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Is Remote Work Not The New Normal?

February 25, 2021

David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to[...]

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Vigilant’s 2021 Compliance Calendar

February 23, 2021

The Thought Leaders at Vigilant have created a 2021 Compliance Calendar for keeping track of important due dates this year.[...]

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Vigilant’s Director, Justin Dausch, Provides Insights towards the Ad Rule and its effect on Social Media

February 22, 2021

On February 22nd, Ignites provided a publication on the Ad Rule and how it may push shops to ban social media. Professionals[...]

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Vigilant’s January Recap Newsletter

February 12, 2021

2021 started off strong providing everyone with insightful information for the New Year. Vigilant would like to highlight some important[...]

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