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.
Vigilant Compliance Newsletter | March 2025
March 31, 2025Monthly Newsletter Printer Friendly Version In March, there were important releases including Vigilant Insights, FINRA and SEC Releases, and a Vigilant Shortlist Award[...]
Read Article
Vigilant Compliance Newsletter | February 2025
March 02, 2025Monthly Newsletter Printer Friendly Version In February, there were notable releases featuring both Vigilant Insights and SEC Releases content. Below is a[...]
Read Article
Vigilant Compliance Newsletter | January 2025
February 02, 2025Monthly Newsletter Printer Friendly Version In January, there were important releases that contained both Vigilant Insights and SEC Releases content. There was also[...]
Read Article
Vigilant Compliance Newsletter | December 2024
January 02, 2025Monthly Newsletter In December, there were important releases that contained both Vigilant Insights and SEC Releases content. There was also a Vigilant Announcement regarding a[...]
Read Article
Vigilant Compliance Newsletter | November 2024
December 05, 2024Monthly Newsletter In November, there were important releases that contained both Vigilant Insights and SEC Releases content. Below is a brief overview[...]
Read Article
Vigilant Compliance Newsletter | October 2024
November 04, 2024Monthly Newsletter In October, we saw a good blend of Vigilant Insights and SEC Releases content, as well as a Vigilant Announcement too.[...]
Read Article
Vigilant Compliance Newsletter | September 2024
October 01, 2024Monthly Newsletter In September, we saw heavy volume in both Vigilant Insights and SEC Releases, as well as a few Vigilant Announcements too.[...]
Read Article
Vigilant Compliance Newsletter | July 2024
August 01, 2024Monthly Newsletter In July, we saw Vigilant Insights, SEC Releases and Vigilant Announcements. Below is a brief overview of what took place[...]
Read Article
Vigilant Compliance Newsletter | June 2024
July 07, 2024Monthly Newsletter In June, we saw Vigilant Insights, SEC Charges and SEC Releases. Below is a brief overview of what took[...]
Read Article
Vigilant Compliance Newsletter | April 2024
May 02, 2024Monthly Newsletter In April, we saw Vigilant Insights, SEC Charges, SEC Releases, and a FINRA Fine. Below is a brief overview of what[...]
Read Article
Vigilant Compliance Newsletter | March 2024
April 07, 2024Monthly Newsletter In March, we saw SEC Charges, SEC Statements, and Vigilant Announcements. Below is a brief overview of what took[...]
Read Article
Vigilant Compliance Newsletter | February 2024
March 03, 2024Monthly Newsletter In February, we saw Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a brief[...]
Read Article