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.


Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades

July 23, 2021

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July[...]

Read Article

Mutual Fund to ETF Conversion

July 22, 2021

Mutual Fund to ETF Conversion | Vigilant Insights What steps are you taking in this vital structural decision? According to[...]

Read Article

June 2021 Compliance Recap

July 16, 2021

Compliance Recap June 2021 | Monthly Newsletter  In the month of June there were many important SEC Releases, as well as quite[...]

Read Article

Receiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.

July 14, 2021

  SEC Charges Electronic Trading Platform | SEC Release   On June 29th, 2021, the SEC announced that Neovest, Inc. failed[...]

Read Article

SEC Commissioner Provides Updates Towards Climate, ESG, and More

July 07, 2021

  SEC Release   On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there[...]

Read Article

ESG Rules Update from Commissioner Elad L. Roisman

June 29, 2021

  Vigilant Insights | SEC Release   On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC[...]

Read Article

8 Benefits to Engaging a Compliance Consultant

June 22, 2021

Vigilant Insights | How Engaging with a Compliance Consultant can Help YOU!   Should I engage a Compliance Consultant? What[...]

Read Article

SEC Announces Annual Regulatory Agenda for Spring 2021

June 16, 2021

  Vigilant Insights   On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory[...]

Read Article

Vigilant Newsletter: May 2021

June 08, 2021

  For this month’s version of Vigilant’s Newsletter for May there was a high focus on Vigilant and Paul Hastings[...]

Read Article

FINRA’s 2021 Annual Conference Remarks

June 03, 2021

  9 Key Takeaways from FINRA’s 2021 Annual Conference   On May 20th, 2021 the SEC released remarks at the 2021[...]

Read Article

Asset Managers Guide to ESG Investing Webinar: 3 Minute Recap

June 01, 2021

Vigilant co-hosted an Asset Manager’s Guide to ESG Investing with Paul Hastings on May 25th, 2021. If you happened to[...]

Read Article

Download Materials from our ESG Investing Webinar

May 27, 2021

Supplemental Materials from Asset Managers Guide to ESG Investing Webinar  ESG Investing Webinar Deck VA ESG Presentation PH Impact Investing[...]

Read Article