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.
News and Alerts
FINRA Releases 2023 Risk Monitoring Report | 4 Key Topics
January 18, 2023News & Alerts Brief Introduction On January 10th, FINRA published a report for 2023 to help firms strengthen their compliance programs. The report[...]
Read Article
News and Alerts
FINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures
January 04, 2023News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping[...]
Read Article
News and Alerts
SEC Chair Provides Comments on the SEC’s Agenda
September 30, 2022Brief Introduction SEC Chair, Gary Gensler, made multiple comments during a 30-minute discussion with IAA CEO, Karen Barr, that gave insight into the SEC’s[...]
Read Article
News and Alerts
Compliance Date Reminder | New SEC Rule 2a-5 on Good Faith Determination of Fair Valuation
September 01, 2022Who Does This Rule Apply To? The New SEC Rule 2a-5 of the Investment Company Act of 1940 applies to all Registered Investment[...]
Read Article
News and Alerts
SEC Investor Alert | Social Media and Investment Fraud
August 31, 2022Brief Introduction On Monday, August 29th, the SEC’s Office of Investor Education and Advocacy sent out an Investor Alert relating to Social Media and[...]
Read Article
News and Alerts
$200 Million Fine for Misuse of Personal Devices
July 27, 2022Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because[...]
Read Article
News and Alerts
EXAMS Issues Reminder For The Marketing Rule Compliance Date
May 25, 2022Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them[...]
Read Article
News and Alerts
$200 Million Fine Over Employee Text Messages | News & Alerts
December 14, 2021News & Alerts According to a Wall Street Journal article written on Monday, December 13th, a well known Investment Banking[...]
Read Article
News and Alerts
Asset Managers Guide to ESG Investing Webinar: 3 Minute Recap
June 01, 2021Vigilant co-hosted an Asset Manager’s Guide to ESG Investing with Paul Hastings on May 25th, 2021. If you happened to[...]
Read Article
News and Alerts
Is Remote Work Not The New Normal?
February 25, 2021David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to[...]
Read Article
News and Alerts
SEC Adopts Modernized Marketing Rule for Investment Advisers
December 22, 2020The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to[...]
Read Article
News and Alerts
The Unprecedented Future of Working Fully Remote
November 05, 2020Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”, the potential[...]
Read Article