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, 2023

News & Alerts Brief Introduction On January 10th, FINRA published a report for 2023 to help firms strengthen their compliance programs. The report[...]

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News and Alerts

FINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures

January 04, 2023

News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping[...]

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News and Alerts

SEC Chair Provides Comments on the SEC’s Agenda

September 30, 2022

Brief 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[...]

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News and Alerts

Compliance Date Reminder | New SEC Rule 2a-5 on Good Faith Determination of Fair Valuation

September 01, 2022

Who Does This Rule Apply To? The New SEC Rule 2a-5 of the Investment Company Act of 1940 applies to all Registered Investment[...]

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News and Alerts

SEC Investor Alert | Social Media and Investment Fraud

August 31, 2022

Brief Introduction On Monday, August 29th, the SEC’s Office of Investor Education and Advocacy sent out an Investor Alert relating to Social Media and[...]

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News and Alerts

$200 Million Fine for Misuse of Personal Devices

July 27, 2022

Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because[...]

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News and Alerts

EXAMS Issues Reminder For The Marketing Rule Compliance Date

May 25, 2022

Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them[...]

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News and Alerts

$200 Million Fine Over Employee Text Messages | News & Alerts

December 14, 2021

  News & Alerts According to a Wall Street Journal article written on Monday, December 13th, a well known Investment Banking[...]

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News and Alerts

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[...]

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News and Alerts

Is Remote Work Not The New Normal?

February 25, 2021

David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to[...]

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News and Alerts

SEC Adopts Modernized Marketing Rule for Investment Advisers

December 22, 2020

The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to[...]

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News and Alerts

The Unprecedented Future of Working Fully Remote

November 05, 2020

Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”,  the potential[...]

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