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.
Industry Events
SEC 2026 Compliance Outreach Programs: Key Takeaways for RIAs and RICs
June 25, 2026Industry Events Introduction In May and June 2026, the SEC hosted virtual Compliance Outreach Program Regional Seminars for Investment Advisers[...]
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Industry Events
SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
September 23, 2022SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be[...]
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Industry Events
SEC Whistleblower Payouts and What It Means for You
June 08, 2020The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual[...]
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Industry Events
FINRA Announces Fraudulent Email Phishing Campaign
May 22, 2020Recently 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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Industry Events
Salvatore Faia to Speak at the ETF Regulations Readiness Summit
February 11, 2020Update: This event has now passed. Please contact us for similar event recommendations. The ETF Regulations Readiness Summit will take[...]
Read ArticleAssessing Advisor Profitability: A Tricky Call for Independent Directors
April 11, 2014This event has now passed. If you’d like to register for similar events, visit mfdf.org. The Mutual Fund Directors Forum[...]
Read ArticleNuts & Bolts of Being a Director
March 27, 2014Update: This event has now passed. Please contact us for upcoming event recommendations or visit upcoming events hosted by Mutual[...]
Read ArticleJennifer L. Klass Partner from Morgan Lewis will present “How it All Works”
October 11, 2013Update: The event has now passed. Please contact us for upcoming event recommendations. On Friday October 18, 2013, Jennifer L.[...]
Read ArticleIA Compliance – Fall Conference 2013
August 13, 2013IA Watch’s 13th Annual Compliance Conference was located in Philadelphia, PA at The Westin Philadelphia. Below are the following things[...]
Read ArticleSEC – 2013 Mutual Funds and Investment Management Conference
March 12, 2013The SEC hosted an event called “2013 Mutual Funds and Investment Management Conference” located in Palm Desert, California. It was[...]
Read Article2013 MFDF Directors’ Institute
December 21, 2012Updated: This event is now passed, if you would like to register for similar events, visit the MFDF website or[...]
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