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.

 

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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Salvatore Faia to Speak at the ETF Regulations Readiness Summit

February 11, 2020

The ETF Regulations Readiness Summit will take place this year at the AMA Conference Center in New York City on[...]

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Mutual Funds + Investment Management Conference

February 07, 2020

Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm[...]

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SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity

January 28, 2020

The SEC’s Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.[...]

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SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities

January 08, 2020

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its[...]

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Former Congressman and Two Others Settle Insider Trading Charges

December 09, 2019

The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen[...]

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Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs

December 09, 2019

The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of[...]

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